Stephen ConnollyCRD 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.
Securian Financial Services, Inc.
Lpl Financial LLC
Red Rock Capital Advisors, LLC
|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|
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 Management745MILLIONS
Total Number of Accounts3,187ACCOUNTS
Average Account Value$233,877
- 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
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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