John K. O'connor

CURI CAPITAL

CHICAGO, IL 60606

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CRD#: 3196859

Professional summary

John Kevin O'connor, who also goes by John Kevin Oconnor, is a registered financial advisor currently at CURI CAPITAL, LLC located in Chicago, Illinois.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. John has worked at 4 firms and has passed the Series 66, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Kevin 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Kevin O'connor'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 29, 2017 - Present

CURI CAPITAL, LLC

Office #1: One North Wacker Drive Suite 3500, Chicago, IL 60606

RIA

CRD#: 134249

CHICAGO, IL

Past

August 2, 2002 - August 9, 2006

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

CHICAGO, IL

Past

February 13, 2002 - August 9, 2006

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

CHICAGO, IL

Past

October 3, 2001 - February 13, 2002

HVA BROKERAGE SERVICES LLC

CRD#: 113864

CHICAGO, IL

Past

May 17, 1999 - July 20, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

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".

CURI CAPITAL, LLC

CRD#: 134249 / SEC#: 801-63939

RIA

Registered Investment Advisory firm - (2/15/2005 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(6/29/2017)

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

State Security Law Exam

IAR

Series 66

Date: 12/13/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 5/14/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/27/2004

General Securities Principal Examination

Current Firm

CURI CAPITAL, LLC

CRD#: 134249 / SEC#: 801-63939

RIA

Registered Investment Advisory firm - (2/15/2005 Approved)

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Contact information

Main Address

One North Wacker Drive Suite 3500, Chicago, IL 60606

Mailing Address

Phone number

(312) 993-5800

Established

Firm type

Fiscal year end

# of Employees

168

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JULY 1, 2025 FORM ADV PART 2A CURI RMB CAPITAL, LLC (7/3/2025)

Regulatory assets under management

Total Number of Accounts	13,209
AUM (Assets Under Management)	$ 9,830,680,915

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/01/2025	Cover Page	Report
11/27/2024	Cover Page	Report
10/27/2023	Cover Page	Report
09/26/2022	Cover Page	Report

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

John K. O'connor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Kevin O'connor's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

HVA BROKERAGE SERVICES LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

CURI CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/13/1999

Series 7

Date: 5/14/1999

Series 24

Date: 9/27/2004

Current Firm

CURI CAPITAL, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CURI CAPITAL, LLC

TRUST BUT VERIFY

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