WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC of ADDISON, TX is an SEC-registered investment adviser (CRD 144172). Regulatory assets under management: $228.5M.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| David Patrick Oconnor | MANAGING MEMBER, PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| OCONNOR WILLIAM PATRICK | MANAGING MEMBER, PRESIDENT AND CHIEF COMPLIANCE OFFICER; PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2001-11-12 | regulatory | FAILURE TO PROPERLY ADMINISTER REGULATORY ELEMENT OF CONTINUING EDUCATION. | Final | $10K |