Jeanne E. Connolly
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.
Jeanne Eve Connolly, CFP®, who also goes by Jeanne Svandrlik, was a registered financial professional .
Jeanne is a previously registered financial professional and started their career in finance in 1987. Jeanne had worked at 15 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2013 - October 8, 2025
RAYMOND JAMES & ASSOCIATES, INC.
July 23, 2012 - October 8, 2025
RAYMOND JAMES & ASSOCIATES, INC.
February 22, 2007 - September 26, 2011
MORGAN KEEGAN & COMPANY, LLC
February 13, 2007 - September 26, 2011
MORGAN KEEGAN & COMPANY, LLC
April 24, 2006 - February 21, 2007
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
April 10, 2006 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
March 15, 1999 - April 5, 2006
INVEST FINANCIAL CORPORATION
March 11, 1999 - April 5, 2006
INVEST FINANCIAL CORPORATION
June 27, 1997 - December 11, 1998
NORTHEAST SECURITIES, LLC
December 9, 1994 - July 15, 1997
ELECTRONIC ACCESS DIRECT, INC.
June 28, 1994 - December 12, 1994
FIRST AFFILIATED SECURITIES
December 23, 1993 - June 29, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 21, 1993 - December 31, 1993
REPUBLIC SECURITIES, INC.
November 2, 1992 - June 23, 1993
PFS INVESTMENTS INC.
August 7, 1989 - October 31, 1990
ROBERT TODD FINANCIAL CORP.
March 28, 1988 - August 7, 1989
MARSHALL DAVIS, INC.
January 4, 1988 - March 29, 1988
GREENTREE SECURITIES CORP.
February 26, 1987 - December 31, 1987
BROOKS WEINGER ROBBINS & LEEDS INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
