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Daniel A. O'connor

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CRD#: 2618069
DO

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Adam O'connor, who also goes by Daniel Adam Oconnor, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1995. Daniel had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Adam Oconnor

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) DANCO CONSULTING, LLC, FINANCIAL CONSULTING ACCOUNTING PASS THROUGH PURPOSES ONLY, DAYTON, OH, START 1-2018 ZERO HRS PER MONTH, INVESTMENT RELATED. (2) Keystone Financial Advisors; Marketing name; 70Birch Alley Ste 240 Beavercreek, OH 45440

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 22, 2024 - June 30, 2025

INVEST CAPITAL PARTNERS

RIA
CRD#: 287987
SPRINGBORO, OH
Past

July 22, 2022 - April 22, 2024

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
BEAVERCREEK, OH
Past

September 18, 2020 - April 22, 2024

B. RILEY WEALTH ADVISORS, INC.

RIA
CRD#: 115927
BEAVERCREEK, OH
Past

September 13, 2020 - July 22, 2022

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BEAVERCREEK, OH
Past

February 5, 2018 - September 17, 2020

UNITED ADVISORS SERVICES, LLC

RIA
CRD#: 150080
Dayton, OH
Past

January 19, 2018 - September 17, 2020

FSIC

BD
CRD#: 37813
Dayton, OH
Past

October 5, 2009 - January 29, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
DAYTON, OH
Past

October 5, 2009 - January 29, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
DAYTON, OH
Past

April 8, 2009 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

RIA
CRD#: 5979
WASHINGTON TOWNSHIP, OH
Past

March 27, 2009 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
WASHINGTON TOWNSHIP, OH
Past

December 7, 1999 - April 15, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
DAYTON, OH
Past

June 7, 1995 - April 15, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
DAYTON, OH

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".
IC
INVEST CAPITAL PARTNERS
CHUDDE WEALTH MANAGEMENT | ROCKWOOD INVESTMENT COUNSEL | RIVERVIEW ACCOUNTING & ADVISORY, CO. | MIDWESTERN WEALTH MANAGEMENT | MERTEN CAPITAL | INVEST CAPITAL PARTNERS, LLC | INVEST CAPITAL PARTNERS, CO. | INVEST CAPITAL PARTNERS | INERTIA WEALTH MANAGEMENT

CRD#: 287987 / SEC#: 801-110218

RIA
Registered Investment Advisory firm - (4/4/2017 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/6/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/30/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 2/27/1996
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 6/6/1995
General Securities Representative Examination

Current Firm

IC
INVEST CAPITAL PARTNERS
CHUDDE WEALTH MANAGEMENT | ROCKWOOD INVESTMENT COUNSEL | RIVERVIEW ACCOUNTING & ADVISORY, CO. | MIDWESTERN WEALTH MANAGEMENT | MERTEN CAPITAL | INVEST CAPITAL PARTNERS, LLC | INVEST CAPITAL PARTNERS, CO. | INVEST CAPITAL PARTNERS | INERTIA WEALTH MANAGEMENT

CRD#: 287987 / SEC#: 801-110218

RIA
Registered Investment Advisory firm - (4/4/2017 Approved)
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Contact information

Main Address
550 S. Main Street, Springboro, OH 45066
Mailing Address
550 S. Main Street, Springboro, OH 45066
Phone number
(937) 557-3200
Established
Firm type
Fiscal year end
# of Employees
11

SEC notice filing (14 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

INVEST CAPITAL PARTNERS BROCHURE DISCLOSURE (1/7/2025)

Regulatory assets under management

Total Number of Accounts1,200
AUM (Assets Under Management)$ 229,325,324

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.

Company Information

INVEST CAPITAL PARTNERS

CRD#: 287987

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