Joseph D. Connell

SIKICH FINANCIAL

Maple Grove, MN

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CRD#: 1890204

Professional summary

Joseph Dean Connell, who also goes by Joe Dean Connell, is a registered financial advisor currently at SIKICH FINANCIAL located in Maple Grove, Minnesota.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Joseph has worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 26 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Dean Connell

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.

1)SIKICH FINANCIAL;INVESTMENT RELATED;RETIREMENT PLAN CONSULTING;DIRECTOR OF RETIREMENT PLAN SERVICES;9/1/2014;160 HRS/MONTH;6.5 HRS DURING TRADING;CONSULTING ON RETIREMENT PLAN MATTERS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Dean Connell'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

October 7, 2014 - Present

SIKICH FINANCIAL

RIA

CRD#: 142640

Maple Grove, MN

Past

May 18, 2015 - December 20, 2021

TRIAD ADVISORS LLC

CRD#: 25803

Maple Grove, MN

Past

January 13, 2014 - September 2, 2014

FINANCIAL TELESIS INC

RIA

CRD#: 31012

MAPLE GROVE, MN

Past

February 22, 2013 - September 2, 2014

FINANCIAL TELESIS INC

CRD#: 31012

MAPLE GROVE, MN

Past

February 10, 2012 - March 7, 2013

LPL FINANCIAL LLC

CRD#: 6413

MAPLE GROVE, MN

Past

February 17, 2009 - February 15, 2012

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

PLYMOUTH, MN

Past

October 2, 2008 - March 3, 2009

SIGNATOR INVESTORS, INC.

CRD#: 468

MAPLE GROVE, MN

Past

August 1, 2007 - May 30, 2008

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

April 6, 2005 - March 6, 2007

BIRCHTREE FINANCIAL SERVICES LLC

CRD#: 15014

MINNEAPOLIS, MN

Past

August 25, 1999 - November 23, 2004

ADP BROKER-DEALER, INC.

CRD#: 37693

ROSELAND, NJ

Past

September 3, 1998 - July 21, 1999

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

NEW YORK, NY

Past

September 3, 1998 - July 21, 1999

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356

NEW YORK, NY

Past

September 24, 1997 - August 6, 1998

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

September 22, 1992 - September 2, 1997

JOHN G. KINNARD AND COMPANY, INCORPORATED

CRD#: 466

MINNEAPOLIS, MN

Past

September 9, 1992 - September 23, 1992

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

February 7, 1990 - September 3, 1992

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

February 27, 1989 - February 12, 1990

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

November 25, 1988 - March 6, 1989

JOHN G. KINNARD AND COMPANY, INCORPORATED

CRD#: 466

Past

October 19, 1988 - November 5, 1988

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SIKICH FINANCIAL

SIKICH CAPITAL MANAGEMENT LLC | SIKICH RETIREMENT PLAN SERVICES LLC | SIKICH FINANCIAL

CRD#: 142640 / SEC#: 801-110142

RIA

Registered Investment Advisory firm - (3/24/2017 Approved)

Florida

Registered Investment Advisory firm - (3/27/2017 Terminated)

Illinois

Registered Investment Advisory firm - (3/24/2017 Terminated)

Minnesota

Registered Investment Advisory firm - (3/27/2017 Terminated)

Missouri

Registered Investment Advisory firm - (3/27/2017 Terminated)

Ohio

Registered Investment Advisory firm - (3/27/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/27/2017 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/27/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(10/7/2014)

IAR

Minnesota
(10/23/2014)

IAR

Ohio
(2/22/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/30/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/19/1988

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: 10/15/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 26

Date: 7/26/2004

Investment Company Products/Variable Contracts Principal Examination

Principal/Supervisory Exam

Series 8

Date: 7/2/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

SIKICH FINANCIAL

SIKICH CAPITAL MANAGEMENT LLC | SIKICH RETIREMENT PLAN SERVICES LLC | SIKICH FINANCIAL

CRD#: 142640 / SEC#: 801-110142

RIA

Registered Investment Advisory firm - (3/24/2017 Approved)

Florida

Registered Investment Advisory firm - (3/27/2017 Terminated)

Illinois

Registered Investment Advisory firm - (3/24/2017 Terminated)

Minnesota

Registered Investment Advisory firm - (3/27/2017 Terminated)

Missouri

Registered Investment Advisory firm - (3/27/2017 Terminated)

Ohio

Registered Investment Advisory firm - (3/27/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/27/2017 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/27/2017 Terminated)

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Contact information

Main Address

3051 Hollis Drive 3rd Floor, Springfield, IL 62704

Mailing Address

Phone number

(217) 862-1843

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIKICH CAPITAL MANAGEMENT LLC ADV PART 2 (3/18/2025)

Regulatory assets under management

Total Number of Accounts	1,236
AUM (Assets Under Management)	$ 919,996,863

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Joseph D. Connell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Dean Connell's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRIAD ADVISORS LLC

FINANCIAL TELESIS INC

FINANCIAL TELESIS INC

LPL FINANCIAL LLC

KESTRA INVESTMENT SERVICES, LLC

SIGNATOR INVESTORS, INC.

MML INVESTORS SERVICES, LLC

BIRCHTREE FINANCIAL SERVICES LLC

ADP BROKER-DEALER, INC.

MUTUAL OF AMERICA SECURITIES LLC

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CHARLES SCHWAB & CO., INC.

JOHN G. KINNARD AND COMPANY, INCORPORATED

OSAIC WEALTH, INC.

CETERA INVESTMENT SERVICES LLC

PIPER SANDLER & CO.

JOHN G. KINNARD AND COMPANY, INCORPORATED

BLINDER, ROBINSON & CO., INC.

Primary Firm SEC Registration

SIKICH FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 7/30/2009

Series 63

Date: 10/19/1988

SIE

Date: 10/1/2018

Series 7

Date: 10/15/1988

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 26

Date: 7/26/2004

Series 8

Date: 7/2/1998

Current Firm

SIKICH FINANCIAL

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SIKICH FINANCIAL

TRUST BUT VERIFY

Contact information

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