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JC

Joe H. Connell

PUBLIC SAFETY FINANCIAL/GALLOWAY
Mesa, AZ 85201
Some features on this profile are disabled
CRD#: 1278586
JC

Professional summary

Joe Henry Connell is a registered financial advisor currently at PUBLIC SAFETY FINANCIAL/GALLOWAY located in Mesa, Arizona and MODERN WEALTH MANAGEMENT, LLC located in Mesa, Arizona.

Joe is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Joe has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joe Henry Connell's CRS (Customer Relationship Summary).
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

January 13, 2015 - Present

PUBLIC SAFETY FINANCIAL/GALLOWAY

Office #1: 1138 N Alma School Rd Suite 201, Mesa, AZ 85201
RIA
CRD#: 141091
Mesa, AZ
Current

August 29, 2025 - Present

MODERN WEALTH MANAGEMENT, LLC

Office #1: 1138 N Alma School Rd, Mesa, AZ 85201
RIA
CRD#: 324624
MESA, AZ
Past

May 9, 2011 - December 23, 2014

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
CHANDLER, AZ
Past

May 2, 2011 - December 23, 2014

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
TEMPE, AZ
Past

June 21, 2010 - January 26, 2011

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
SCOTTSDALE, AZ
Past

June 15, 2010 - January 26, 2011

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SCOTTSDALE, AZ
Past

October 24, 2001 - March 4, 2009

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
LITTLE ROCK, AR
Past

September 24, 1998 - March 4, 2009

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
LITTLE ROCK, AR
Past

September 4, 1984 - December 31, 2001

THE VARIABLE ANNUITY MARKETING COMPANY

BD
CRD#: 5081
HOUSTON, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MW
MODERN WEALTH MANAGEMENT, LLC
MODERN WEALTH MANAGEMENT, LLC | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624 / SEC#: 801-127231

RIA
Registered Investment Advisory firm - (5/2/2023 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Arizona
(1/13/2015)
IAR
Texas
(11/13/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/20/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/30/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/23/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/31/1984
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 3/27/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/19/2000
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 7/3/1991
Investment Company Products/Variable Contracts Principal Examination

Current Firm

MW
MODERN WEALTH MANAGEMENT, LLC
MODERN WEALTH MANAGEMENT, LLC | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624 / SEC#: 801-127231

RIA
Registered Investment Advisory firm - (5/2/2023 Approved)
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Contact information

Main Address
13550 W 95th St., Lenexa, KS 66227
Mailing Address
Phone number
(913) 393-1000
Established
Firm type
Fiscal year end
# of Employees
150

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MARCH 2025 ADV 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts18,823
AUM (Assets Under Management)$ 6,148,915,787

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.

Company Information

MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624Mesa, AZ 85201

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Contact information

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