Patrick 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.
Patrick Joseph Connelly was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1983. Patrick had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 2013 - November 21, 2014
SORRENTO PACIFIC FINANCIAL, LLC
April 12, 2011 - October 28, 2013
ESSEX NATIONAL SECURITIES, LLC
March 5, 2008 - November 23, 2010
OSAIC INSTITUTIONS, INC.
January 7, 2008 - March 5, 2008
BMO HARRIS FINANCIAL ADVISORS, INC.
September 10, 1993 - January 15, 2008
IFMG SECURITIES, INC.
December 1, 1989 - April 8, 1993
CAL FED INVESTMENTS
January 13, 1989 - December 6, 1989
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
November 29, 1988 - February 6, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 31, 1986 - December 16, 1988
OBERWEIS SECURITIES, INC.
June 22, 1983 - April 4, 1986
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
Current Firm
SORRENTO PACIFIC FINANCIAL, LLC
CRD#: 127787 / SEC#: 801-70354, 8-66046
Contact information
FINRA licenses (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 924 |
| AUM (Assets Under Management) | $ 222,328,734 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 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.
