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Detailed Report
MATTHEW PHILIP O'CONNOR
MATTHEW P O'CONNOR, MATTHEW P OCONNOR
CRD#: 2427203
IA
Investment Adviser
B
Broker
CAPITAL CLIENT GROUP, INC.CRD#: 6247 333 SOUTH HOPE STREET, 55TH FLOOR
LOS ANGELES, CA 90071-1447
Registration History
1995200020052010201520202025IACAPITAL CLIENT GROUP, INC. (CRD# 6247)2013 - Present (12 years)BCAPITAL CLIENT GROUP, INC. (CRD# 6247)2008 - Present (16 years)BPUTNAM RETAIL MANAGEMENT LIMIT... (CRD# 7325)2006 - 2008 (2 years)BPUTNAM MUTUAL FUNDS CORP. (CRD# 7325)1994 - 1997 (3 years)IAPUTNAM INVESTMENT MANAGEMENT, LLC (CRD# 106629)2008 - 2008 (<1 year)IAPUTNAM INVESTMENT MANAGEMENT, LLC (CRD# 106629)2002 - 2008 (6 years)
License(s)

State Registrations

B
California 7/26/2010
B
New Hampshire 8/4/2021
IA
California 4/30/2013

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CAPITAL CLIENT GROUP, INC. (CRD#:6247)
333 SOUTH HOPE STREET, 55TH FLOOR, LOS ANGELES, CA 90071-1447
Pacific Palisades, CA
Registered with this firm since 4/30/2013
B
CAPITAL CLIENT GROUP, INC. (CRD#:6247)
333 SOUTH HOPE STREET, 55TH FLOOR, LOS ANGELES, CA 90071-1447
Pacific Palisades, CA
Registered with this firm since 12/4/2008
Previous Registration(s)
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 03/12/2008 - 11/11/2008 PUTNAM INVESTMENT MANAGEMENT, LLC (CRD#:106629) BOSTON, MA
B
 09/19/2006 - 11/11/2008 PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (CRD#:7325) BOSTON, MA
IA
 01/01/2002 - 02/19/2008 PUTNAM INVESTMENT MANAGEMENT, LLC (CRD#:106629) BOSTON, MA
B
 05/03/1994 - 07/10/1997 PUTNAM MUTUAL FUNDS CORP. (CRD#:7325) BOSTON, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.