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Matthew Philip O'Connor

Capital Client Group, Inc.

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About Matthew Philip O'Connor

Matthew O'Connor is a financial advisor in Los Angeles, California. Matthew has been in the financial services industry since 1998. He is currently registered with Capital Client Group, Inc. and has been with the firm since 2013. Matthew has a number of professional licenses and designations including Series 6, Series 7, Series 24, Series 26, Series 63 and Series 65. Matthew is a Chartered Financial Analyst. Prior to joining Capital Client Group, Inc., Matthew was employed by Putnam Retail Management Limited Partnership in Boston, Massachusetts and by Putnam Mutual Funds Corp. in Boston, Massachusetts.

Firm Information

Matthew O'Connor is currently registered with Capital Client Group, Inc.. Capital Client Group, Inc. is a corporation established in 1972 and headquartered in Los Angeles, California. The firm provides various investment advisory services, including recommending affiliate as an investment advisor of SMA assets. They primarily serve corporations, individuals, insurance companies, investment companies, and other investment advisors. The firm is registered with the SEC and in 53 states.
Capital Client Group, Inc.

333 SOUTH HOPE STREET

LOS ANGELES, CA 90071-1406

Not reported

Assets Under Management

Not reported

Total Clients

619

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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recommending affiliate as investment adviser of sma assets

Recommending affiliate as investment adviser of sma assets

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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other

As agreed upon in a manner that covers registrant's costs

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Matthew O'Connor’s Registration & Firm History

CA

04/30/2013 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

MA

09/19/2006 - 11/11/2008

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)

MA

05/03/1994 - 07/10/1997

PUTNAM MUTUAL FUNDS CORP. (BOSTON MA)

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Licenses & Designations

BC

Issued 09/22/2009

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 10/24/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/28/2011

Series 24 - General Securities Principal Examination

BC

Issued 01/19/2009

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/18/2006

Series 7 - General Securities Representative Examination

BC

Issued 03/01/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Matthew Philip O'Connor.
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