Michael J. 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.
Michael John Connelly was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE 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
November 7, 2024 - June 9, 2026
WEDBUSH SECURITIES INC.
November 7, 2024 - June 9, 2026
WEDBUSH SECURITIES INC.
August 25, 2022 - December 3, 2024
B. RILEY WEALTH ADVISORS, INC.
May 31, 2019 - December 31, 2022
B. RILEY WEALTH MANAGEMENT
May 31, 2019 - December 3, 2024
B. RILEY WEALTH MANAGEMENT
April 1, 2014 - June 20, 2019
RAYMOND JAMES & ASSOCIATES, INC.
April 13, 2012 - June 20, 2019
RAYMOND JAMES & ASSOCIATES, INC.
March 13, 2009 - April 19, 2012
RBC CAPITAL MARKETS, LLC
March 13, 2009 - April 19, 2012
RBC CAPITAL MARKETS, LLC
August 25, 2006 - March 13, 2009
FERRIS, BAKER WATTS, LLC
August 25, 2006 - March 13, 2009
FERRIS, BAKER WATTS, LLC
June 28, 2006 - September 19, 2006
JANNEY MONTGOMERY SCOTT LLC
September 13, 1994 - September 19, 2006
JANNEY MONTGOMERY SCOTT LLC
July 22, 1982 - September 15, 1994
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
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
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2025 | ||
| 10/28/2024 | ||
| 04/26/2024 |
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.
