Bart J. Oconnor

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CRD#: 2694477

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.

Bart Jerome Oconnor, who also goes by Bart Jerome Oconnor, was a registered financial professional .

Bart is a previously registered financial professional and started their career in finance in 1996. Bart had worked at 2 firms and has passed the Series 7 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Bart Jerome 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.

Since February 2017 I have been engaged as a consultant for Saturn Partners, an early stage venture capital firm, located at 75 Federal St., Boston, MA 02110. Duties involve consulting on how to better position marketing materials and presentations for institutional investors. These duties are limited to approximately 10 hours/month.

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

October 5, 2016 - March 23, 2023

BERNZOTT CAPITAL ADVISORS

RIA

CRD#: 104583

HINGHAM, MA

Past

September 21, 2006 - December 19, 2008

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEW YORK, NY

Past

January 12, 1996 - September 1, 2005

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEW YORK, 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".

BERNZOTT CAPITAL ADVISORS

BERNZOTT CAPITAL ADVISORS | BERNZOTT CAPITAL ADVISORS

CRD#: 104583 / SEC#: 801-56940

RIA

Registered Investment Advisory firm - (10/29/1999 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.

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.

Exams

General Industry/Product Exam

Series 7

Date: 1/11/1996

General Securities Representative Examination

Current Firm

BERNZOTT CAPITAL ADVISORS

BERNZOTT CAPITAL ADVISORS | BERNZOTT CAPITAL ADVISORS

CRD#: 104583 / SEC#: 801-56940

RIA

Registered Investment Advisory firm - (10/29/1999 Approved)

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Contact information

Main Address

1200 Paseo Camarillo Suite 180, Camarillo, CA 93010

Mailing Address

Phone number

(800) 856-2646

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BCA ADV PART 2A OTAA (4/28/2025)

Regulatory assets under management

Total Number of Accounts	377
AUM (Assets Under Management)	$ 285,196,781

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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Bart J. Oconnor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BERNZOTT CAPITAL ADVISORS

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

Primary Firm SEC Registration

BERNZOTT CAPITAL ADVISORS

State Registrations and Notice Filings

Exams

Series 7

Date: 1/11/1996

Current Firm

BERNZOTT CAPITAL ADVISORS

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BERNZOTT CAPITAL ADVISORS

TRUST BUT VERIFY

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