KO
Kathy A. O'connor
KJ CAPITAL MANAGEMENT LLC
New York, NY
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CRD#: 5203723
KO
Professional summary
Kathy A O'connor, who also goes by Kathy A. O'connor, Kathy A Oconnor, is a registered financial advisor currently at KJ CAPITAL MANAGEMENT LLC located in New York, New York.
Kathy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Kathy has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathy A. O'connor | Kathy A 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.
CRS (Client Relationship Summary) - RIA
Click below to view Kathy A O'connor'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®
NoneExperience
Current
October 4, 2016 - Present
KJ CAPITAL MANAGEMENT LLC
RIA
CRD#: 147495
New York, NY
Past
December 6, 2010 - December 20, 2013
KJ CAPITAL MANAGEMENT LLC
RIA
CRD#: 147495
NEW YORK, NY
Past
June 23, 2008 - October 18, 2010
KJ CAPITAL MANAGEMENT LLC
RIA
CRD#: 147495
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".
KC
KJ CAPITAL MANAGEMENT LLC
KJ CAPITAL MANAGEMENT LLC
CRD#: 147495 / SEC#: 801-108472
RIA
Registered Investment Advisory firm - (9/29/2016 Approved)Arizona
Registered Investment Advisory firm - (11/20/2013 Terminated)California
Registered Investment Advisory firm - (12/20/2013 Terminated)Connecticut
Registered Investment Advisory firm - (11/27/2012 Terminated)Idaho
Registered Investment Advisory firm - (10/18/2010 Terminated)Illinois
Registered Investment Advisory firm - (11/1/2012 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2013 Terminated)New York
Registered Investment Advisory firm - (10/4/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/5/2012 Terminated)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
Massachusetts(1/11/2017)
IAR
New York(5/26/2021)
IAR
Texas(10/4/2016)
Exams
Current Firm
KC
KJ CAPITAL MANAGEMENT LLC
KJ CAPITAL MANAGEMENT LLC
CRD#: 147495 / SEC#: 801-108472
RIA
Registered Investment Advisory firm - (9/29/2016 Approved)Arizona
Registered Investment Advisory firm - (11/20/2013 Terminated)California
Registered Investment Advisory firm - (12/20/2013 Terminated)Connecticut
Registered Investment Advisory firm - (11/27/2012 Terminated)Idaho
Registered Investment Advisory firm - (10/18/2010 Terminated)Illinois
Registered Investment Advisory firm - (11/1/2012 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2013 Terminated)New York
Registered Investment Advisory firm - (10/4/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/5/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
New York, NY
Mailing Address
641 Lexington Avenue 14th Floor, New York, NY 10022
Phone number
(212) 879-7498
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 110 |
| AUM (Assets Under Management) | $ 88,012,961 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
