William D. Connolly

ENCLAVE CAPITAL LLC

New York, NY 10017

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CRD#: 1748677

Professional summary

William Dwyer Connolly, who also goes by Bill Connolly, William D Connolly, William Dwyer Connolly, William Connolly, is a registered financial professional currently at ENCLAVE CAPITAL LLC located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 1993. William has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bill Connolly | William D Connolly | William Dwyer Connolly | William Connolly

Other business activities

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Dwyer Connolly's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 10, 2024 - Present

ENCLAVE CAPITAL LLC

Office #1: 450 Lexington Ave. 4th Fl, New York, NY 10017

CRD#: 22732

New York, NY

Past

May 1, 2023 - March 8, 2024

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

May 10, 2019 - July 15, 2022

BOFA SECURITIES, INC.

CRD#: 283942

NEW YORK, NY

Past

November 1, 2010 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 15, 2009 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

July 22, 2004 - May 26, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

February 3, 1998 - May 26, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

November 9, 1993 - January 13, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(5/10/2024)

Exams

State Security Law Exam

Series 63

Date: 11/11/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/8/1993

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/27/1993

National Commodity Futures Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 12/1/2017

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ENCLAVE CAPITAL LLC

CRD#: 22732 / SEC#: , 8-39592

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

301 Yamato Road Suite 2198, Boca Raton, FL 33431

Mailing Address

301 Yamato Road Suite 2198, Boca Raton, FL 33431

Phone number

(646) 454-8600

Established

Delaware since 05/31/1995

Firm type

Limited Liability Company

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (18 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MAZZEO, ROBERT LOUIS II	MANAGING MEMBER/CEO	2460221
DUMONT, SUSAN ELIZABETH	CCO	2346501
VITTOR, GREG TODD	FINOP, PRINCIPAL OPERATIONS OFFICER, PRINCIPAL FINANCIAL OFFICER	1864219

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Firm Stability Insights

William D. Connolly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Dwyer Connolly's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPPENHEIMER & CO. INC.

BOFA SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SALOMON BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/11/1993

SIE

Date: 10/1/2018

Series 7

Date: 11/8/1993

Series 3

Date: 10/27/1993

Series 10

Date: 1/2/2023

Series 24

Date: 12/1/2017

FINRA

Current Firm

ENCLAVE CAPITAL LLC

Contact information

FINRA licenses (18 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ENCLAVE CAPITAL LLC

TRUST BUT VERIFY

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