Stephen ConnollyCRD Number: 1171269
Current Firm: Vsr Advisory Services
Stephen Connolly (CRD# 1171269) is an Investment Advisor Representative working at Vsr Advisory Services in Marshalltown, IA and has over 33 years of experience in the finance industry.
Investment Centers Of America, Inc.
Northwestern Mutual Investment Services,llc
Wells Fargo Advisors, LLC
|Vsr Advisory Services||Overland Park, KS||Aug 2007 - Current||9|
|Vsr Financial Services, Inc.||Des Moines, IA||Jan 1996 - Current||21|
|The Retirement Planning Center||Des Moines, IA||Jan 1996 - Current||21|
|Executive Benefits||Des Moines, IA||Jan 1993 - Current||24|
|Provident Mutual||Philadelphai, PA||Sep 1992 - Current||24|
|Self Employed||W. Des Moines, IA||Mar 1988 - Current||29|
|The Masters (division Of Vsr Financial Services, Inc)||Overland Park, KS||Jan 2003 - Aug 2007||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1983|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management3,101MILLIONS
Total Number of Accounts16,944ACCOUNTS
Average Account Value$183,033
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Market timing services
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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