David Patrick Oconnor
Professional Summary
David Patrick Oconnor is a registered financial advisor currently at WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC located in Addison, Texas and WATERFORD CAPITAL, INC. located in Addison, Texas. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. David has worked at 4 firms and has passed the Series 66, Series 63, Series 79TO, Series 99TO, SIE, Series 31, Series 7, Series 14, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC
Contact Information
Main Address
14275 Midway Road Suite 138, Addison, TX 75001Phone Number
(214) 363-6920# of Employees
3SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
331AUM (Assets Under Management)
$228,453,367Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC
State Registrations and Notice Filings
(1/12/2023)
(4/23/2003)
(7/17/1997)
(6/20/2007)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed May 2003About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view David Patrick Oconnor's CRS (Customer Relationship Summary).
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