Joseph D. Connell
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.
Joseph Donald Connell JR was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1985. Joseph had worked at 11 firms and has passed the Series 65, Series 63, SIE 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
June 23, 2005 - April 28, 2021
ALLIANCEBERNSTEIN L.P.
June 23, 2005 - April 28, 2021
ALLIANCEBERNSTEIN INVESTMENTS, INC.
February 23, 2004 - August 20, 2004
CITIGROUP GLOBAL MARKETS INC.
February 13, 2004 - August 20, 2004
CITIGROUP GLOBAL MARKETS INC.
December 20, 1999 - October 14, 2003
VP DISTRIBUTORS LLC
April 6, 1994 - January 4, 2000
PXP SECURITIES CORP.
April 30, 1993 - April 20, 1994
RELATED EQUITIES CORPORATION
September 15, 1992 - May 6, 1993
ARMATA FINANCIAL CORP.
November 21, 1989 - September 23, 1992
KRUPP SECURITIES CORPORATION
August 23, 1988 - October 10, 1989
FIRST CAPITAL INVESTMENT CORPORATION
April 28, 1986 - May 20, 1988
FREEMAN INVESTMENTS, INC.
December 23, 1985 - April 23, 1986
JACQUES-MILLER INVESTMENT COMPANY
Primary Firm SEC Registration
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
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
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 68,593 |
| AUM (Assets Under Management) | $ 709,162,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 10/27/2023 |
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.
