Stephen Connolly, financial advisor Bovey MN
81 score

Stephen Connolly

CRD Number: 1171269
Current Firm: Crown Capital Securities, LP

Stephen Connolly (CRD# 1171269) is an Investment Advisor Representative working at Crown Capital Securities, LP in Bovey, MN and has over 34 years of experience in the finance industry.

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Company Name Location Dates Years
Crown Capital Securities, LP Orange, CA Oct 2017 - Current < 1
The Retirement Planning Center Marshalltown, IA Jan 1996 - Current 22
Summit Brokerage Services, Inc. Marshalltown, IA Sep 2016 - Oct 2017 1
Summit Financial Group Inc. Marshalltown, IA Sep 2016 - Oct 2017 1
Vsr Advisory Services Overland Park, KS Aug 2007 - Sep 2016 9
Vsr Financial Services, Inc. Des Moines, IA Jan 1996 - Sep 2016 20
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Sep 2017
S63 Uniform Securities State Law Examination Oct 1983
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Stephen W. Connolly
Phone Number: 714-547-9481
Registered State(s):
  • MN
By the Numbers
  • Total Assets Under Management
    745
    MILLIONS
  • Total Number of Accounts
    3,187
    ACCOUNTS
  • Average Account Value
    $233,877
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

AL, AZ, CA, CO, CT, FL, GA, HI, IA, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, NC, ND, NE, NJ, NM, NV, NY, OH, OK, PA, SC, TN, TX, WA, WI

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BADGES
81

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