Joseph A. Connor

CONNOR CAPITAL MANAGEMENT

Vienna, VA 22182

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CRD#: 2599157

Professional summary

Joseph Augustine Connor IV, who also goes by Joe Connor, Joseph Augustine Connor, is a registered financial advisor currently at CONNOR CAPITAL MANAGEMENT, LLC located in Vienna, Virginia and PURSHE KAPLAN STERLING INVESTMENTS located in Vienna, Virginia.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Joseph has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Connor | Joseph Augustine Connor

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.

1. CONNOR CAPITAL MGMT LLC, PRESIDENT,RIA, INVESTMENT RELATED, 8300 BOONE BLVD, STE 500, VIENNA VA 22182, 40HRS PER WEEK. 01/2011. 2. Intelligent Divorce Solutions, LLC. Not Investment Related. 8300 Boone Blvd, Suite 500, Vienna, VA 22182. Divorce Consulting. President. 11/2016. 10 Hrs/Mo; 5 Hrs/Mo During Trading Hours. Financial Related Divorce Consulting Services. Helping People Prepare Financial Affidavits, Division of Property, Pension Calculations, QDRO Prep, etc. 3. SuperLeaders-Not investment related-2127 G Street NW, Washington, DC 20052-Non-profit helping at risk youth in the DC area-Board member-1 hr/mth-0 during trading hrs-Helping fund raise and mentor youth member

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Augustine Connor IV's 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

January 21, 2011 - Present

CONNOR CAPITAL MANAGEMENT, LLC

Office #1: 8300 Boone Blvd. Suite 500, Vienna, VA 22182

RIA

CRD#: 155893

Vienna, VA

Current

January 21, 2011 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 8300 Boone Blvd Suite 500, Vienna, VA 22182

CRD#: 35747

Vienna, VA

Past

November 15, 2007 - January 31, 2011

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

VIENNA, VA

Past

November 15, 2007 - January 31, 2011

UBS FINANCIAL SERVICES INC.

CRD#: 8174

VIENNA, VA

Past

June 27, 2003 - November 16, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BETHESDA, MD

Past

June 26, 2003 - November 16, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BETHESDA, MD

Past

April 15, 2003 - July 8, 2003

OPPENHEIMER ASSET MANAGEMENT

RIA

CRD#: 105559

NEW YORK, NY

Past

January 3, 2003 - April 15, 2003

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

WASHINGTON, DC

Past

January 3, 2003 - June 10, 2003

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

August 6, 1999 - January 3, 2003

CIBC WORLD MARKETS CORP.

RIA

CRD#: 630

NEW YORK, NY

Past

July 9, 1999 - January 3, 2003

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

May 5, 1999 - July 22, 1999

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

RICHMOND, VA

Past

March 24, 1995 - May 5, 1999

SCOTT & STRINGFELLOW, INC.

CRD#: 3309

RICHMOND, VA

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

Colorado
(2/10/2014)

Florida
(1/13/2016)

Idaho
(2/12/2014)

Maryland
(1/21/2011)

Massachusetts
(11/15/2013)

Texas
(8/23/2024)

IAR

Texas
(3/3/2025)

Virginia
(1/21/2011)

IAR

Virginia
(1/21/2011)

Wisconsin
(10/21/2025)

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 65

Date: 4/20/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/7/1995

Uniform Securities Agent State Law 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 7

Date: 3/23/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 5/23/2007

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/15/2007

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

CONNOR CAPITAL MANAGEMENT, LLC

CRD#: 155893 / SEC#:

Texas

Registered Investment Advisory firm - (2/14/2025 Conditional Restricted)

Virginia

Registered Investment Advisory firm - (1/21/2011 Approved)

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Contact information

Main Address

8300 Boone Blvd. Suite 500, Vienna, VA 22182

Mailing Address

Phone number

(703) 714-6692

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	70
AUM (Assets Under Management)	$ 39,711,588

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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Advisor Monitoring

Firm Stability Insights

Joseph A. Connor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Augustine Connor IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

OPPENHEIMER ASSET MANAGEMENT

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

CIBC WORLD MARKETS CORP.

SCOTT & STRINGFELLOW, LLC

SCOTT & STRINGFELLOW, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/20/1995

Series 63

Date: 4/7/1995

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/23/1995

Series 10

Date: 5/23/2007

Series 9

Date: 5/15/2007

FINRA

Current Firm

CONNOR CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CONNOR CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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