Paul J. Connolly
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.
Paul Joseph Connolly JR was a registered financial advisor .
Paul is a previously registered financial advisor and started their career in finance in 1983. Paul had worked at 15 firms and has passed the Series 66, Series 65, 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
June 25, 2010 - June 3, 2011
FORTA FINANCIAL GROUP, INC.
June 18, 2010 - June 3, 2011
FORTA FINANCIAL GROUP, INC.
May 29, 1997 - December 11, 1998
NORTHEAST SECURITIES, LLC
February 25, 1997 - May 28, 1997
ELECTRONIC ACCESS DIRECT, INC.
November 30, 1995 - January 7, 1997
BARRON CHASE SECURITIES, INC.
December 1, 1994 - December 14, 1995
ELECTRONIC ACCESS DIRECT, INC.
August 5, 1994 - December 12, 1994
FIRST AFFILIATED SECURITIES
January 4, 1994 - June 29, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 28, 1993 - December 31, 1993
REPUBLIC SECURITIES, INC.
December 14, 1992 - October 14, 1993
JOSEPHTHAL & CO., INC.
January 17, 1992 - February 11, 1993
ROBERT TODD FINANCIAL CORP.
August 7, 1989 - October 31, 1990
ROBERT TODD FINANCIAL CORP.
May 4, 1988 - August 7, 1989
MARSHALL DAVIS, INC.
January 11, 1988 - March 31, 1988
GREENTREE SECURITIES CORP.
September 18, 1986 - December 31, 1987
BROOKS WEINGER ROBBINS & LEEDS INC.
July 18, 1986 - September 16, 1986
NORBAY SECURITIES INC.
March 15, 1985 - July 17, 1986
NORBAY SECURITIES INC.
January 9, 1984 - March 18, 1985
THE STUART-JAMES COMPANY, INCORPORATED
June 6, 1983 - November 21, 1983
HENDERSON, FEW & CO.
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
FORTA FINANCIAL GROUP, INC.
CRD#: 28784 / SEC#: 801-113100, 8-43930
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 5 |
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.
