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Gerald Stephen Connolly

CFP®
CRD# 1594715·Registered 1987 - 2024
Previously Registered: Being a previously registered professional could mean that Gerald 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.

Professional Summary

Gerald Stephen Connolly, CFP®, who also goes by Jerry Connolly, was a registered financial advisor. Gerald was a previously registered financial professional and started their career in finance 1987 - 2024. Gerald had worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Services Offered

  • Education Planning
  • Investment Planning
  • Retirement Planning
  • Insurance Planning
  • Comprehensive Financial Planning

Other Aliases

Jerry Connolly

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Credentials

CFP®
Certified Financial PlannerSince 1989

Years of Experience

39 years in the financial services industry

Current & Past Employments

NEWEDGE SECURITIES, LLC·CRD# 10674
BD
Westborough, MA
September 21, 2009 - January 2, 2024
SECURITIES SERVICE NETWORK, LLC·CRD# 13318
BD
Westborough, MA
February 15, 2000 - September 18, 2009
GRIMES & COMPANY·CRD# 109420
RIA
Westborough, MA
April 23, 1997 - January 2, 2024
LPL FINANCIAL LLC·CRD# 6413
BD
Fort Mill, SC
December 16, 1989 - February 11, 2000
LINSCO FINANCIAL GROUP, INC.·CRD# 524
BD
February 1, 1989 - December 16, 1989
COMMONWEALTH FINANCIAL NETWORK·CRD# 8032
BD
January 21, 1987 - February 13, 1989

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Current Firm

NS
NEWEDGE SECURITIES, LLC

MID ATLANTIC CAPITAL CORPORATION | NEWEDGE SECURITIES, LLC | NEWEDGE SECURITIES, INC. | NEWEDGE SECURITIES LLC | MID ATLANTIC SECURITIES CORPORATION | MID ATLANTIC CAPITAL SECURITIES

CRD#: 10674 / SEC#: 8-27663
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Contact Information

Main Address

1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-6368

Mailing Address

1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-6368

Phone Number

(888) 271-5273

Established

Pennsylvania since 12/14/1981

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Medium

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NEWEDGE CAPITAL GROUP, LLCSHAREHOLDER—
BANCO, JOSEPH FRANKLIN JRCHIEF FINANCIAL OFFICER, TREASURER AND DIRECTOR2850198
CHAFFEE, HAROLD GERARDCHIEF COMPLIANCE OFFICER2905661
FONG, SARAH FVICE PRESIDENT2937709
JENKINS, WILLIAM HENRYMANAGING DIRECTOR - SUPERVISION3004337
JESSE, JAMES WILLIAM JR.DIRECTOR4244855
SMITH, KYLE PETERPRESIDENT AND DIRECTOR2142563
TIMMERMAN, ERIN NICOLEGENERAL COUNSEL6387118

Disclosures

Regulatory Event

9

Civil Event

2

Arbitration

4

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

1)GRIMES & COMPANY, INC~INVESTMENT RELATED~110 TURNPIKE RD, STE 100, WESTBOROUGH, MA 01581~RIA~VP/IAR~NOVEMBER 1999~200HRS PER MONTH~160HRS PER MONTH DURING MARKET~INVESTMENT ADVICE AND FINANCIAL PLANNING CONSULTING - - - - - - - - - 2)FIXED INSURANCE~NON INVESTMENT RELATED~110 TURNPIKE RD, STE 100, WESTBOROUGH, MA 01581~FIXED INSURANCE SALES~AGENT~DECEMBER 1986~1HR PER MONTH~0HRS PER MONTH DURING MARKET~SALE OF FIXED INSURANCE TO CLIENTS - - - - - - - - - 3)GGC&W, LLC~NON INVESTMENT RELATED~110 TURNPIKE RD, STE 100, WESTBOROUGH, MA 01581~THIS IS A "SILENT" INVISIBLE LLC SIMPLY IN EXISTENCE FOR INTERNAL ACCOUNTING OF FIXED INSURANCE COMMISSIONS FOR SEVERAL INSURANCE PRODUCERS IN THE OFFICE~MEMBER~DECEMBER 2011~1HR PER MONTH~1HR PER MONTH DURING MARKET~SETS UP THE LLC IN THE ACCOUNTING PROCESS WITH ANY NEW INSURANCE PROVIDERS - - - - - - - - - 4)FAMILY TRUST~INVESTMENT RELATED~SHREWSBURY, MA 01545~TRUST~CO-TRUSTEE W/SISTER~FEBRUARY 2006~0HRS PER MONTH~0HRS PER MONTH DURING MARKET~CO-TRUSTEE WITH SISTER IN ADMINISTERING THE TRUST UPON FAMILY MEMBERS DEATH - - - - - - - - - - - - - - - - - - - - - - 5)THE COTTAGES AT NAPLES BAY RESORT~INVESTMENT RELATED~NAPLES, FL 34102~MAKE RECOMMENDATIONS TO THE BOARD ON SUITABLE INVESTMENTS OF THE RESERVE FUND~CHAIR OF THE INVESTMENT COMMITTEE FORMED THE BOARD OF DIRECTORS OF THE COTTAGES AT NAPLES BAY RESORT~JUL 2021~1HR PER MONTH~0HRS PER MONTH DURING MARKET~CHAIR THE COMMITTEE OF PROBABLY 3 PEOPLE WHICH WOULD MAKE RECOMMENDATIONS TO THE BOARD. I WOULD HAVE NO ACCESS TO, CONTROL OF, NOR ABILITY TO DIRECT ANY OF THE RESERVE FUNDS. I WOULD ONLY BE PROVIDING COMMENTS, RECOMMENDATIONS AS A MEMBER OF THE COMMITTEE 6)Naples Bay Resort HOA*Yes Invest*Naples, FL*Chair, Naples Bay Resort HOA Investment Committee*Investment strategy for the reserve fund*9/15/21*1 per mnth/1 during trade*Consulting and recommending of appropriate investment strategy of the reserve funds.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Nov 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1987About the Series 63 exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 1987About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 1990About the Series 24 exam

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CRS (Client Relationship Summary)

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

Services Offered by Gerald

  • Education Planning
  • Investment Planning
  • Retirement Planning
  • Insurance Planning
  • Comprehensive Financial Planning

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