Stephen W. Connolly

THE RETIREMENT PLANNING CENTER

Bovey, MN

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CRD#: 1171269

Professional summary

Stephen William Connolly SR, who also goes by Stephen William Connolly, is a registered financial advisor currently at THE RETIREMENT PLANNING CENTER located in Bovey, Minnesota and LPL FINANCIAL LLC located in Bovey, Minnesota.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Stephen has worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen William Connolly

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) 04/17/2024 - The Retirement Planning Center - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 06/01/2018 - 160 Hours Per Month/ 8 Hours During Trading (2) 04/24/2024 - The Retirement Planning Center - Registered Investment Advisor - Advisor - Investment Related - At Reported Business Location(s) - Start Date 06/01/2018 - 20 Hours Per Month/ During Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 4/2024. I expect to spend approximately 20 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen William Connolly SR's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 18, 2018 - Present

THE RETIREMENT PLANNING CENTER

RIA

CRD#: 296894

Bovey, MN

Current

April 17, 2024 - Present

LPL FINANCIAL LLC

RIA

CRD#: 6413

BOVEY, MN

Past

October 9, 2017 - July 26, 2022

CROWN CAPITAL SECURITIES, L.P.

RIA

CRD#: 6312

BOVEY, MN

Past

October 9, 2017 - April 17, 2024

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

BOVEY, MN

Past

September 9, 2016 - October 16, 2017

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

BOVEY, MN

Past

September 1, 2016 - October 16, 2017

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

BOVEY, MN

Past

February 7, 2003 - September 1, 2016

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

MARSHALLTOWN, IA

Past

January 1, 1999 - February 7, 2003

THE MASTERS, INC.

RIA

CRD#: 108432

DES MOINES, IA

Past

January 2, 1996 - September 1, 2016

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

MARSHALLTOWN, IA

Past

June 13, 1995 - December 31, 1995

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

April 22, 1994 - March 15, 1995

STEIN, SHORE SECURITIES, INC.

CRD#: 31294

ORLANDO, FL

Past

October 1, 1992 - September 9, 1993

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

November 19, 1989 - October 12, 1990

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

September 14, 1988 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

September 23, 1983 - September 19, 1988

FSC SECURITIES CORPORATION

CRD#: 7461

Past

August 23, 1983 - September 21, 1983

ENTERPRISE FUND DISTRIBUTORS, INC.

CRD#: 883

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Iowa
(6/19/2018)

Iowa
(4/17/2024)

Michigan
(7/20/2024)

IAR

Minnesota
(6/18/2018)

Minnesota
(4/17/2024)

Nebraska
(4/17/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/25/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/1/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

THE RETIREMENT PLANNING CENTER

CONNOLLY SR., STEPHEN W. | THE RETIREMENT PLANNING CENTER

CRD#: 296894 / SEC#:

Iowa

Registered Investment Advisory firm - (6/19/2018 Approved)

Minnesota

Registered Investment Advisory firm - (6/18/2018 Approved)

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Contact information

Main Address

Bovey, MN

Mailing Address

Phone number

(515) 343-4835

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	40
AUM (Assets Under Management)	$ 2,669,227

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.

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Advisor Monitoring

Firm Stability Insights

Stephen W. Connolly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen William Connolly SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

CROWN CAPITAL SECURITIES, L.P.

CROWN CAPITAL SECURITIES, L.P.

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

THE MASTERS, INC.

VSR FINANCIAL SERVICES, INC.

CETERA ADVISORS LLC

STEIN, SHORE SECURITIES, INC.

1717 CAPITAL MANAGEMENT COMPANY

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

FSC SECURITIES CORPORATION

ENTERPRISE FUND DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/2017

Series 63

Date: 10/1/1983

SIE

Date: 10/1/2018

Series 7

Date: 8/20/1983

FINRA

Current Firm

THE RETIREMENT PLANNING CENTER

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE RETIREMENT PLANNING CENTER

TRUST BUT VERIFY

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