David Oconnor has been Managing Member, President and Chief Compliance Officer of Waterford Capital Investment Advisory Services since May 2007, is a control person of the firm and directly owns 75% or more of it.
Waterford Capital Investment Advisory Services LLC is an Addison, TX firm with $228M under management, 110 clients and 1 adviser in one office, as of its March 2026 filing.
- – present · 19 yearsAddison, TX · Adviser representative · Firm CRD 144172
Investment adviser representative registrations
David Oconnor is registered as an investment adviser representative in Texas, since June 2007.
- TexasSince 20 June 2007
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 2 May 2007 |
| Series 28 | Introducing Broker/Dealer Financial Operations Principal Examination | 20 May 2003 |
| Series 24 | General Securities Principal Examination | 14 June 1999 |
| Series 31 | Futures Managed Funds Examination | 4 June 1993 |
| Series 63 | Uniform Securities Agent State Law Examination | 2 July 1991 |
| Series 7 | General Securities Representative Examination | 20 June 1991 |
- Name
- Compliance Officer Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Introducing Broker/Dealer Financial Operations Principal Examination
- Name
- General Securities Principal Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- David Patrick Oconnor
- CRD
- 2143494
- Firm
- Waterford Capital Investment Advisory Services · CRD 144172
- Role
- Managing Member, President and Chief Compliance Officer
- Office
- 14275 MIDWAY ROAD, SUITE 138, Addison, TX 75001
- Registration
- Investment adviser and broker registrations
- In the industry since
- June 1991
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does David Oconnor work?
David Oconnor has been Managing Member, President and Chief Compliance Officer of Waterford Capital Investment Advisory Services LLC since May 2007, and is a control person of the firm.
Is David Oconnor a financial advisor?
Yes. David Oconnor has a current investment-adviser registration in Texas, through Waterford Capital Investment Advisory Services since June 2007.
How many years of experience does David Oconnor have?
David Oconnor has 35 years in the financial industry, since June 1991, across 1 adviser firm.
What exams has David Oconnor passed?
David Oconnor has passed 9 licensing exams: the Series 7, Series 63, Series 31, Series 24, Series 28, Series 66, Series 14, Series 79TO and Series 99TO. The earliest, the Series 7, was passed in June 1991. FINRA credited David Oconnor with the SIE, which began in October 2018.
Where is David Oconnor based?
David Oconnor’s registered office is in Addison, TX.
Is David Oconnor registered with FINRA?
Yes. David Oconnor has a current broker registration, under CRD 2143494.
Source: FINRA BrokerCheck
How can I verify David Oconnor’s record?
Search CRD 2143494 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish David Oconnor’s full registration record.