Peggy 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.
Peggy Dulin Connolly, who also goes by Peggy Mckay Dulin, Peggy Dulin Thompson, was a registered financial professional .
Peggy is a previously registered financial professional and started their career in finance in 2011. Peggy had worked at 2 firms and has passed the Series 65 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 30, 2016 - May 7, 2018
LEAVELL INVESTMENT MANAGEMENT, INC.
January 17, 2011 - July 1, 2014
STERNE, AGEE & LEACH, INC.
Primary Firm SEC Registration
LEAVELL INVESTMENT MANAGEMENT, INC.
CRD#: 107890 / SEC#: 801-14752
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
LEAVELL INVESTMENT MANAGEMENT, INC.
CRD#: 107890 / SEC#: 801-14752
Contact information
SEC notice filing (12 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,847 |
| AUM (Assets Under Management) | $ 2,967,145,153 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/29/2025 | ||
| 10/25/2023 | ||
| 01/26/2023 |
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.
