KO
Kevin M. O'connor
NAVY FEDERAL INVESTMENT SERVICES
Groton, CT 06340
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CRD#: 6089726
KO
Professional summary
Kevin Michael O'connor, AIF® is a registered financial advisor currently at NAVY FEDERAL INVESTMENT SERVICES, LLC located in Groton, Connecticut.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Kevin has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Okemo Mountain Rental Management, Ludlow, VT, Inactive owner, Okemo resort, Rental unit, Start: 4/29/2025, 0 hrs devoted during trading hours and non-trade hours.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Michael O'connor's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Michael 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®
Experience
Current
January 4, 2017 - Present
NAVY FEDERAL INVESTMENT SERVICES, LLC
Office #1: 24 Sailfish Dr, Groton, CT 06340Office #2: 657 Peary St, Newport, RI 02840RIA
BD
CRD#: 138459
Groton, CT
Current
August 30, 2016 - Present
NAVY FEDERAL INVESTMENT SERVICES, LLC
Office #1: 24 Sailfish Dr, Groton, CT 06340Office #2: 657 Peary St, Newport, RI 02840RIA
BD
CRD#: 138459
Groton, CT
Past
August 31, 2016 - January 4, 2017
NAVY FEDERAL ASSET MANAGEMENT, LLC
RIA
CRD#: 144244
Groton, CT
Past
January 3, 2014 - August 31, 2016
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
MERIDEN, CT
Past
August 3, 2013 - August 31, 2016
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
MERIDEN, CT
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".
NF
NAVY FEDERAL INVESTMENT SERVICES, LLC
NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
RIA
Registered Investment Advisory firm - SEC (6/21/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(12/15/2017)
RR
Connecticut(8/30/2016)
IAR
Connecticut(1/4/2017)
RR
Florida(11/18/2016)
IAR
Florida(4/20/2022)
RR
Kansas(2/20/2025)
IAR
Kansas(2/20/2025)
RR
Maine(8/23/2017)
RR
Maryland(9/8/2020)
IAR
Maryland(4/19/2022)
RR
Massachusetts(12/5/2016)
IAR
Massachusetts(4/25/2022)
RR
Michigan(8/11/2023)
IAR
Michigan(8/15/2023)
RR
Missouri(12/18/2024)
IAR
Missouri(12/18/2024)
RR
New Hampshire(3/20/2018)
IAR
New Hampshire(8/15/2023)
RR
New Jersey(4/3/2018)
IAR
New Jersey(4/21/2022)
RR
New York(10/31/2016)
RR
Ohio(12/22/2016)
IAR
Ohio(4/19/2022)
RR
Pennsylvania(5/10/2022)
IAR
Pennsylvania(5/10/2022)
RR
Rhode Island(8/30/2016)
IAR
Rhode Island(1/4/2017)
RR
South Carolina(8/14/2023)
IAR
South Carolina(8/16/2023)
RR
Texas(1/5/2021)
IAR
Texas(7/23/2025)
RR
Vermont(7/10/2023)
IAR
Vermont(7/12/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NAVY FEDERAL INVESTMENT SERVICES, LLC
NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
RIA
Registered Investment Advisory firm - SEC (6/21/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1007 Electric Ave, Vienna, VA 22180
Mailing Address
1007 Electric Ave, Vienna, VA 22180
Phone number
(877) 221-8108
Established
Virginia since 09/06/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
176
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,472 |
| AUM (Assets Under Management) | $ 1,713,608,579 |
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
NAVY FEDERAL INVESTMENT SERVICES, LLC
CRD#: 138459Groton, CT 06340TRUST BUT VERIFY
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