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James Harvey Oconnor

O'Connor Capital Advisory, LLC

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About James Harvey Oconnor

James Harvey Oconnor is an investment advisor representative with O'Connor Capital Advisory, LLC in Scottsdale, Arizona. James is a registered Investment Advisor in Arizona and California. James has over 30 years of experience in the financial services industry and is dedicated to providing personalized financial advice and investment management services to clients. James has worked at United Planners' Financial Services of America A Limited Partner, Zions Direct, Inc. and Stiteler Investments, Inc. James is committed to helping clients achieve their financial goals and providing them with the highest level of service.

Firm Information

James Oconnor is currently registered with O'Connor Capital Advisory, LLC. O'Connor Capital Advisory, LLC is an investment advisor registered with the SEC. The firm manages approximately $99,069,080 in assets for 132 clients. O'Connor Capital Advisory, LLC offers financial planning and portfolio management services to high-net-worth individuals, charitable organizations, and pension and profit-sharing plans.

$99.07M

Assets Under Management

Not reported

Total Clients

1

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Oconnor’s Registration & Firm History

AZ

06/10/2013 - Present

O'Connor Capital Advisory, LLC (SCOTTSDALE AZ)

AZ

01/04/2011 - 11/30/2011

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (SCOTTSDALE AZ)

UT

08/15/2006 - 01/08/2009

ZIONS DIRECT, INC. (SALT LAKE CITY UT)

AZ

09/27/1990 - 08/15/2006

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (PHOENIX AZ)

NA

06/16/1986 - 09/24/1990

STITELER INVESTMENTS, INC.

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Licenses & Designations

IA

Issued 09/06/2006

Series 65 - Uniform Investment Adviser Law Examination

BOTH

Issued 03/16/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/27/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/09/1998

Series 24 - General Securities Principal Examination

BC

Issued 12/12/1990

Series 7 - General Securities Representative Examination

BC

Issued 05/20/1986

Series 22 - Direct Participation Programs Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for James Harvey Oconnor.
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