James M. 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.
James Michael Connolly was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 14 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
September 8, 2011 - July 1, 2021
GRIFFIN FINANCIAL GROUP, LLC
September 19, 2002 - November 7, 2003
VIE SECURITIES, LLC
August 8, 2000 - July 14, 2003
REB SECURITIES, INC.
May 1, 2000 - September 15, 2003
VIE INSTITUTIONAL SERVICES, INC.
May 10, 1994 - August 28, 1995
HSBC SECURITIES (USA) INC.
October 29, 1988 - February 8, 1994
NOMURA SECURITIES INTERNATIONAL, INC.
July 30, 1987 - August 10, 1988
MORGAN STANLEY MARKET PRODUCTS INC.
September 26, 1986 - August 10, 1988
MORGAN STANLEY & CO. LLC
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
GRIFFIN FINANCIAL GROUP, LLC
CRD#: 119004 / SEC#: , 8-53711
Contact information
FINRA licenses (51 States and Territories)
Red Flags
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