James Oconnor has been Managing Member, Chief Compliance Officer of O'Connor Capital Advisory since December 2009, is a control person of the firm and directly owns 75% or more of it. James Oconnor holds an MBA from Thunderbird School of Global Management and an Undergraduate degree from San Diego State University. James Oconnor studied MIM at Thunderbird School of Global Management.
O'Connor Capital Advisory, LLC is a Scottsdale, AZ firm with $112M under management, 38 clients and 1 adviser across 3 offices, as of its July 2026 filing.
Jim O'Connor is President and Managing Member of O'Connor Capital Advisory, with offices in Scottsdale, Arizona and Coronado, California. He has experience in the investment, real estate development and hospitality industries.
James Oconnor’s longest registration is the current one, 16 years at O'Connor Capital Advisory since 2010. Before joining O'Connor Capital Advisory in 2010, James Oconnor was registered through Contango Capital Advisors, Inc.
- – present · 16 yearsScottsdale, AZ · Adviser representative · Firm CRD 152687
- Contango Capital Advisors, Inc.– · 2 yearsPhoenix, AZ · Adviser representative · Firm CRD 131308
Investment adviser representative registrations
James Oconnor is registered as an investment adviser representative in 2 states. The first approvals date from August 2010; the most recent is California, in June 2013.
- ArizonaSince 19 August 2010
- CaliforniaSince 10 June 2013
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 6 September 2006 |
| Series 66 | Uniform Combined State Law Examination | 16 March 2000 |
| Series 24 | General Securities Principal Examination | 9 October 1998 |
| Series 7 | General Securities Representative Examination | 12 December 1990 |
| Series 63 | Uniform Securities Agent State Law Examination | 27 May 1986 |
| Series 22 | Direct Participation Programs Representative Examination | 20 May 1986 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Direct Participation Programs Representative Examination
- Full name
- James Harvey Oconnor
- CRD
- 1509766
- Firm
- O'Connor Capital Advisory · CRD 152687
- Role
- Managing Member, Chief Compliance Officer
- Office
- 5635 N SCOTTSDALE RD, STE 170, Scottsdale, AZ 85250
- Registration
- Investment adviser registration
- In the industry since
- December 2007
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- occap.net
Where does James Oconnor work?
James Oconnor has been Managing Member, Chief Compliance Officer of O'Connor Capital Advisory, LLC since December 2009, and is a control person of the firm.
Is James Oconnor a financial advisor?
Yes. James Oconnor has a current investment-adviser registration in Arizona and California, through O'Connor Capital Advisory since August 2010.
How many years of experience does James Oconnor have?
James Oconnor has 18 years in the financial industry, since December 2007, across 2 adviser firms.
What exams has James Oconnor passed?
James Oconnor has passed 6 licensing exams: the Series 22, Series 63, Series 7, Series 24, Series 66 and Series 65. The earliest, the Series 22, was passed in May 1986.
Where did James Oconnor work before O'Connor Capital Advisory?
Before O'Connor Capital Advisory, James Oconnor was registered through Contango Capital Advisors, Inc., May 2006 to January 2009.
Where is James Oconnor based?
James Oconnor’s registered office is in Scottsdale, AZ.
Is James Oconnor registered with FINRA?
No. James Oconnor has no current broker registration.
How can I verify James Oconnor’s record?
Search CRD 1509766 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Oconnor’s full registration record.