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Matthew O'connor

Director at Capital Research and Management

Investment adviser and broker registrationsSEC record checked 17 October 2026

27
Years in the industry
2
Adviser firms
1
State registrations

IAPD record retrieved 17 October 2026SEC record

Matthew O'connor is Director of Capital Research and Management Company, a Los Angeles investment adviser managing $4.32T. Matthew O'connor has 27 years in the industry across 2 firms and has passed 7 licensing exams.

Role at Capital Research and Management

Title on Schedule A
Director
Control
Matthew O'connor is a control person of Capital Research and Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Matthew O'connor has held the filed role since September 2015.

The firm

Capital Research and Management Company
Los Angeles, CA

Form ADV filed 25 September 2026

$4.32T AUM23,578 clients411 advisers5 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Capital Client Group, Inc.Current
    – present · 13 years
    , · Adviser representative · Firm CRD 6247
  3. Passed Series 24 · 2011
  4. Passed Series 26 and Series 63 · 2009
  5. Capital Client Group, Inc.Current
    – present · 18 years
    Pacific Palisades, CA · Adviser representative and broker · Firm CRD 6247
  6. Putnam Investment Management, LLC
    – · 1 year
    Boston, MA · Adviser representative · Firm CRD 106629
  7. Passed Series 7 · 2006
  8. Putnam Investment Management, LLC
    – · 6 years
    Boston, MA · Adviser representative · Firm CRD 106629
  9. Passed Series 65 · 2001
  10. Passed Series 6 · 1994

Registrations and exams

Matthew O'connor has a current investment-adviser registration in California and has passed 7 qualifying exams.

California30 April 2013
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6322 September 2009
Name
Uniform Securities Agent State Law Examination
Series 6524 October 2001
Name
Uniform Investment Adviser Law Examination
Series 2428 November 2011
Name
General Securities Principal Examination
Series 2619 January 2009
Name
Investment Company Products/Variable Contracts Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 718 September 2006
Name
General Securities Representative Examination
Series 61 March 1994
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Matthew Philip O'connor
CRD
2427203
Firm
Capital Research and Management Company
Registration status
Investment adviser and broker registrations

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Matthew O'connor work?

Matthew O'connor has been Director of Capital Research and Management Company since September 2015, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 25 September 2026

Is Matthew O'connor a financial advisor?

Yes. Matthew O'connor has a current investment-adviser registration in California, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Matthew O'connor have?

Matthew O'connor has worked in the financial industry for 27 years as of 17 October 2026, counted from 14 November 1998, across 2 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Matthew O'connor passed?

Matthew O'connor has passed 7 licensing exams: the Series 6, Series 65, Series 7, Series 26, Series 63, Series 24 and SIE. The earliest, the Series 6, was passed in March 1994.

Source: IAPD individual record, checked 17 October 2026

Where was Matthew O'connor previously registered as an investment adviser?

Matthew O'connor has past investment-adviser registrations through Putnam Investment Management, LLC, March 2008 to November 2008; Putnam Investment Management, LLC, January 2002 to February 2008, across 2 firms.

Source: IAPD individual record, checked 17 October 2026

Leadership at Capital Research and Management

Sources

  1. IAPD individual record, CRD 2427203. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Capital Research and Management Company, filed 25 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Matthew O'connor or Capital Research and Management Company and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.