David S. 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.
David Smith Connelly was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 10, Series 9, Series 4 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
June 9, 2021 - October 18, 2023
BA SECURITIES, LLC
June 20, 2017 - February 7, 2020
CITIGROUP GLOBAL MARKETS INC.
January 3, 2017 - June 7, 2017
INSPEREX LLC
September 9, 2014 - December 15, 2016
KIMBERLITE ADVISORS, LLC
April 15, 2011 - June 14, 2013
SANDLER, O'NEILL & PARTNERS, L.P.
June 10, 2010 - April 25, 2011
BRAVER STERN SECURITIES LLC
July 1, 2008 - June 16, 2010
GUGGENHEIM SECURITIES, LLC
February 22, 1985 - June 10, 2008
J.P. MORGAN SECURITIES LLC
August 7, 1984 - February 25, 1985
CROAKE ROBERTS, INC.
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 8
Date: 12/28/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
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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