David P. Oconnor

WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC

Addison, TX 75001

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CRD#: 2143494

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 28 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

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.

WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES, LLC IS A STATE-REGISTERED RIA OPERATED FROM THE SAME ADDRESS. I AM PRESIDENT SINCE 2006 AND DEVOTE APPROXIMATELY 40 HOURS/WEEK. DIPSHIT RADIO, LLC. OWNER. COMMUNICATING ON SPORT EVENTS. APPROXIMATELY 2 HOURS A MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Patrick Oconnor's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 20, 2007 - Present

WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC

Office #1: 14275 Midway Road Suite 138, Addison, TX 75001

RIA

CRD#: 144172

Addison, TX

Current

July 17, 1997 - Present

WATERFORD CAPITAL, INC.

Office #1: 14275 Midway Road Suite 138, Addison, TX 75001

CRD#: 21687

Addison, TX

Past

July 28, 1995 - April 27, 2000

NORTHEAST SECURITIES, LLC

CRD#: 25996

MITCHELFIELD, NY

Past

June 21, 1991 - August 3, 1995

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC

CRD#: 144172 / SEC#: 801-108907

RIA

Registered Investment Advisory firm - (1/23/2017 Approved)

Texas

Registered Investment Advisory firm - (11/17/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/12/2023)

Florida
(4/23/2003)

Texas
(7/17/1997)

IAR

Texas
(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

State Security Law Exam

IAR

Series 66

Date: 5/2/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/2/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/4/1993

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/20/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 28

Date: 5/20/2003

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/14/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC

CRD#: 144172 / SEC#: 801-108907

RIA

Registered Investment Advisory firm - (1/23/2017 Approved)

Texas

Registered Investment Advisory firm - (11/17/2017 Terminated)

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Contact information

Main Address

14275 Midway Road Suite 138, Addison, TX 75001

Mailing Address

Phone number

(214) 363-6920

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC BROCHURE (3/18/2025)

WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC (3/18/2025)

WATERFORD CAPITAL ADV PART 2A (3/18/2025)

Regulatory assets under management

Total Number of Accounts	327
AUM (Assets Under Management)	$ 171,417,575

Red Flags

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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David P. Oconnor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Patrick Oconnor's CRS (Customer Relationship Summary).

Certified licenses

Experience

WATERFORD CAPITAL, INC.

NORTHEAST SECURITIES, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/2/2007

Series 63

Date: 7/2/1991

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 6/4/1993

Series 7

Date: 6/20/1991

Series 14

Date: 1/2/2023

Series 28

Date: 5/20/2003

Series 24

Date: 6/14/1999

FINRA

Current Firm

WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC

TRUST BUT VERIFY

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