William T. 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.
William Tondorf Connolly JR, who also goes by Bill Connolly Jr, Billy Connolly Jr, William T Connolly Jr, William T (jr) Connolly, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1988. William had worked at 3 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24, Series 53 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2019 - January 8, 2020
PUTNAM INVESTMENT MANAGEMENT, LLC
June 30, 1999 - January 8, 2020
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
October 19, 1988 - April 6, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
PUTNAM INVESTMENT MANAGEMENT, LLC
CRD#: 106629 / SEC#: 801-7974
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
Series 8
Date: 9/9/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PUTNAM INVESTMENT MANAGEMENT, LLC
CRD#: 106629 / SEC#: 801-7974
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 559 |
| AUM (Assets Under Management) | $ 85,208,444,537 |
Red Flags
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