Raymond D. 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.
Raymond Daniel Connolly, who also goes by Raymond Daniel Connolly Jr, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1987. Raymond had worked at 7 firms and has passed the SIE exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2015 - January 26, 2016
FIRST BROKERS SECURITIES LLC
February 1, 2002 - July 25, 2014
ICAP SECURITIES USA LLC
March 15, 2000 - January 25, 2002
ICAP SECURITIES USA LLC
April 26, 1999 - April 27, 2000
INTERCAPITAL GOVERNMENT SECURITIES INC.
April 26, 1999 - October 26, 2000
INTERCAPITAL INTERNATIONAL INC.
October 13, 1995 - November 27, 1996
LIBERTY BROKERS
March 25, 1992 - September 15, 1998
TULLETT PREBON FINANCIAL SERVICES LLC
July 25, 1987 - August 21, 1987
WESTPAC POLLOCK GOVERNMENT SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
FIRST BROKERS SECURITIES LLC
CRD#: 27369 / SEC#: , 8-43035
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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