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JC

James P. Connelly

Some features on this profile are disabled
CRD#: 1357462
JC

Professional summary

James Patrick Connelly JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, James had worked at 2 firms, which includes FRED ALGER & COMPANY LLC, BNY MELLON SECURITIES CORPORATION.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James P Connelly Jr | James P Connelly | James Patrick Connelly

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 7, 1986 - October 27, 2003

FRED ALGER & COMPANY, LLC

BD
CRD#: 5300
NEW YORK, NY
Past

August 13, 1985 - July 24, 1986

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/28/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/1986
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/12/1985
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/16/1990
Investment Company Products/Variable Contracts Principal Examination

Current Firm

FA
FRED ALGER & COMPANY, LLC
FRED ALGER & COMPANY, INCORPORATED | FRED ALGER & COMPANY, LLC

CRD#: 5300 / SEC#: , 8-15900

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
100 Pearl Street 27th Floor, New York, NY, 10004
Mailing Address
100 Pearl Street 27th Floor, New York, NY, 10004
Phone number
(212) 806-8800
Established
Delaware since 10/01/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALGER GROUP HOLDINGS, LLCPARENT
HOFMANN, CHRISTOPHPRESIDENT4748990
KINCEL, ROBERT LOUISCHIEF FINANCIAL OFFICER, PFO, POO2747237
LEE, AARON SANGCHIEF COMPLIANCE OFFICER5240841
PAYNE, TINAGENERAL COUNSEL5391957

Disclosures

Regulatory Event6
Civil Event1

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

FRED ALGER & COMPANY, LLC

CRD#: 5300

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