Drew K. O'connor

CAPWEALTH ADVISORS

Franklin, TN 37067

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CRD#: 5933211

Professional summary

Drew King O'connor, who also goes by Andrew Oconnor, Andrew King Oconnor, is a registered financial advisor currently at CAPWEALTH ADVISORS, LLC located in Franklin, Tennessee.

Drew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Drew has worked at 8 firms and has passed the SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew Oconnor | Andrew King 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 Drew King 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

April 22, 2020 - Present

CAPWEALTH ADVISORS, LLC

Office #1: 4031 Aspen Grove Drive Suite 600, Franklin, TN 37067

RIA

CRD#: 148781

Franklin, TN

Past

August 9, 2017 - February 10, 2020

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

August 9, 2017 - September 9, 2021

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 14, 2015 - October 8, 2015

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

LYNNFIELD, MA

Past

August 14, 2015 - October 8, 2015

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

LYNNFIELD, MA

Past

August 14, 2015 - October 8, 2015

CETERA ADVISORS LLC

CRD#: 10299

LYNNFIELD, MA

Past

August 14, 2015 - October 8, 2015

CETERA WEALTH SERVICES, LLC

CRD#: 13572

LYNNFIELD, MA

Past

November 24, 2014 - August 3, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

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".

CAPWEALTH ADVISORS, LLC

CAPITAL TRUST WEALTH ADVISORS, LLC | CAPWEALTH ADVISORS, LLC

CRD#: 148781 / SEC#: 801-69908

RIA

Registered Investment Advisory firm - (1/29/2009 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

Tennessee
(4/22/2020)

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

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/24/2014

General Securities Representative Examination

Current Firm

CAPWEALTH ADVISORS, LLC

CAPITAL TRUST WEALTH ADVISORS, LLC | CAPWEALTH ADVISORS, LLC

CRD#: 148781 / SEC#: 801-69908

RIA

Registered Investment Advisory firm - (1/29/2009 Approved)

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Contact information

Main Address

4031 Aspen Grove Drive Suite 600, Franklin, TN 37067

Mailing Address

Phone number

(615) 778-0740

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPWEALTH ADVISORS LLC PART II BROCHURE 10.17.2025 (10/17/2025)

Regulatory assets under management

Total Number of Accounts	2,526
AUM (Assets Under Management)	$ 2,033,592,832

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

Drew K. O'connor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Drew King O'connor's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS SECURITIES LLC

UBS FINANCIAL SERVICES INC.

CETERA INVESTMENT SERVICES LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

INVESTORS CAPITAL CORP.

Primary Firm SEC Registration

CAPWEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 7

Date: 11/24/2014

Current Firm

CAPWEALTH ADVISORS, LLC

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPWEALTH ADVISORS, LLC

TRUST BUT VERIFY

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