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JC

Jerome E. Connolly

ASHTON STEWART & CO.
Miami, FL 33131
Some features on this profile are disabled
CRD#: 1881584
JC

Professional summary

Jerome Edward Connolly JR, who also goes by Jay Connolly, Jc Connolly, Jerome Edward (jr) Connolly, Jerry Connolly Jr, Jerome Edward Connolly, is a registered financial professional currently at ASHTON STEWART & CO., INC. located in Miami, Florida.

Jerome is registered as a RR (Registered Representative) and started their career in finance in 1988. Jerome has worked at 14 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jay Connolly | Jc Connolly | Jerome Edward (jr) Connolly | Jerry Connolly Jr | Jerome Edward 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 Jerome Edward Connolly JR's CRS (Customer Relationship Summary).
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

January 16, 2020 - Present

ASHTON STEWART & CO., INC.

Office #1: 1395 Brickell Ave Suite 800, Miami, FL 33131
BD
CRD#: 112386
Miami, FL
Past

September 11, 2019 - January 13, 2020

CAROFIN, LLC

BD
CRD#: 298717
BREVARD, NC
Past

April 30, 2019 - December 31, 2019

CAROLINA FINANCIAL SECURITIES, LLC

BD
CRD#: 41970
BREVARD, NC
Past

December 19, 2016 - April 29, 2019

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

July 26, 2010 - July 18, 2016

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

November 17, 2009 - July 22, 2010

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 149758
NEW YORK, NY
Past

January 20, 2009 - November 23, 2009

PALI CAPITAL, INC.

BD
CRD#: 117783
NEW YORK, NY
Past

January 19, 2007 - January 23, 2009

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

August 21, 2001 - January 9, 2007

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
NEW YORK, NY
Past

February 16, 1998 - August 24, 2000

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

June 14, 1996 - February 9, 1998

CITICORP SECURITIES, INC.

BD
CRD#: 7474
NEW YORK, NY
Past

August 2, 1991 - May 21, 1996

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

February 14, 1990 - July 15, 1991

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY
Past

October 19, 1988 - January 31, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
California
(4/25/2023)
RR
Connecticut
(5/15/2023)
RR
Delaware
(6/29/2023)
RR
Florida
(11/16/2021)
RR
Georgia
(8/7/2023)
RR
Maryland
(2/18/2020)
RR
Massachusetts
(4/25/2023)
RR
New Jersey
(4/25/2023)
RR
New York
(11/16/2021)
RR
North Carolina
(4/25/2023)
RR
Ohio
(6/29/2023)
RR
Pennsylvania
(4/25/2023)
RR
Texas
(6/8/2023)
RR
Virginia
(4/25/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/29/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/31/1988
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/15/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ASHTON STEWART & CO., INC.
ASHTON STEWART & CO., INC. | VANTAGE SECURITIES, INC. | MAS TRADE.NET INC. | MAS CAPITAL SECURITIES, INC.

CRD#: 112386 / SEC#: , 8-53239

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

Main Address
1395 Brickell Ave Suite 800, Miami, FL 33131
Mailing Address
1395 Brickell Ave Suite 800, Miami, FL 33131
Phone number
(646) 868-5410
Established
Indiana since 09/27/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ASHTON STEWART INTERNATIONAL HOLDINGS, LLCSHAREHOLDER
BURMAN, ANATOLYCEO/CCO1652002

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.

Company Information

ASHTON STEWART & CO., INC.

CRD#: 112386Miami, FL 33131

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