Joseph P. 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.
Joseph Peter Connelly was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1985. Joseph had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 24, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2019 - December 31, 2020
CADARET, GRANT & CO., INC.
February 8, 2019 - December 31, 2020
CADARET, GRANT & CO., INC.
July 12, 2010 - April 7, 2017
CADARET, GRANT & CO., INC.
April 30, 2003 - April 7, 2017
CADARET, GRANT & CO., INC.
January 24, 1997 - April 30, 2003
WALL STREET ACCESS
November 17, 1995 - December 31, 1996
BANKBOSTON INVESTOR SERVICES, INC.
January 11, 1994 - April 15, 1996
WALL STREET ACCESS
July 15, 1991 - August 17, 1993
PEOPLE'S SECURITIES, INC.
March 22, 1991 - July 1, 1991
WALL STREET ACCESS
February 2, 1990 - March 21, 1991
ROYAL HUTTON SECURITIES CORP.
June 18, 1985 - February 13, 1990
INVEST FINANCIAL CORPORATION
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
Series 7TO
Date: 7/8/2022
General Securities Representative ExaminationSeries 8
Date: 9/29/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
