Connell Byrne
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.
Connell Byrne was a registered financial professional .
Connell is a previously registered financial professional and started their career in finance in 1987. Connell had worked at 12 firms and has passed the Series 63, SIE, Series 3 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, 2014 - March 28, 2015
LAKE CHAMPLAIN BROKERAGE SERVICES LLC
March 20, 2014 - September 25, 2014
HEROLD & LANTERN INVESTMENTS, INC.
July 18, 2011 - March 18, 2014
FURTHER LANE SECURITIES, L.P.
August 4, 2010 - June 9, 2011
EVOLUTION SECURITIES US INC.
September 29, 2003 - July 23, 2010
MORGAN JOSEPH TRIARTISAN LLC
June 21, 2002 - September 29, 2003
ISI CAPITAL, LLC
November 13, 2000 - June 5, 2002
IMPERIAL CAPITAL, LLC
August 5, 1999 - December 22, 2000
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 11, 1991 - January 17, 2001
WELLS FARGO CLEARING SERVICES, LLC
May 29, 1990 - October 15, 1990
WHITEHILL CAPITAL, INC.
February 21, 1989 - March 13, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
November 25, 1987 - March 13, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
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
LAKE CHAMPLAIN BROKERAGE SERVICES LLC
CRD#: 155962 / SEC#: , 8-68757
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHAMPLAIN BROKERS SERVICES HOLDINGS LIMITED | OWNER | |
| MCCLEAN, DAVID EDWARD | FINOP, CCO, MANAGING PRINCIPAL | 1211045 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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