Brian G. Connelly
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brian Gregory Connelly was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1982. Brian had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2000 - October 8, 2002
AVIOR CAPITAL, LLC
August 11, 1998 - December 11, 1998
QUEST CAPITAL STRATEGIES, INC.
March 6, 1995 - August 6, 1996
SPELMAN & CO., INC.
April 7, 1987 - August 16, 1988
CITIGROUP GLOBAL MARKETS INC.
March 30, 1982 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
March 25, 1982 - May 2, 1987
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AVIOR CAPITAL, LLC
CRD#: 44732 / SEC#: , 8-50809
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
