Michael J. Connor

TRUIST SECURITIES

CHARLOTTE, NC 28202

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CRD#: 2080714

Professional summary

Michael John Connor, CFA is a registered financial professional currently at TRUIST SECURITIES, INC. located in Charlotte, North Carolina.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

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Certified licenses

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

CFA

Chartered Financial Analyst

Experience

Current

October 20, 2014 - Present

TRUIST SECURITIES, INC.

Office #1: 214 N Tryon St Fl 14 15, 19, Charlotte, NC, 28202

CRD#: 6271

CHARLOTTE, NC

Past

August 19, 2008 - February 25, 2009

WELLS FARGO SECURITIES, LLC

CRD#: 126292

CHARLOTTE, NC

Past

July 9, 2003 - July 28, 2008

WELLS FARGO SECURITIES, LLC

CRD#: 126292

CHARLOTTE, NC

Past

May 17, 2002 - July 3, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

November 4, 1998 - February 6, 2002

GOLDMAN SACHS & CO. LLC

CRD#: 361

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

North Carolina
(10/27/2014)

Exams

State Security Law Exam

Series 63

Date: 10/27/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/2014

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 8/1/2006

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 5/19/2015

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

TRUIST SECURITIES, INC.

CRD#: 6271 / SEC#: , 8-17212

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

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Contact information

Main Address

740 Battery Ave, Atlanta, GA 30339

Mailing Address

740 Battery Ave, Atlanta, GA 30339

Phone number

(404) 926-5600

Established

Tennessee since 07/01/1972

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
TRUIST FINANCIAL CORPORATION	PARENT COMPANY
COLEMAN, SHELLEY BRENNAN	AML OFFICER	3163295
FARRELL, KATHLEEN ANNE	BOARD MEMBER	4038178
HACKETT, THOMAS PATRICK	CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER	2878035
HUFFSTETLER, MARK	BOARD MEMBER AND CHIEF CREDIT OFFICER	2830214
HUMPHREYS, ADAM	SECRETARY AND CHIEF LEGAL OFFICER	7866934
JESSANI, KERRY	BOARD MEMBER	5048754
MILLIGAN, JOHN	PRINCIPAL OPERATIONS OFFICER	3206391
MORRIS, DONALD ROSS JR	CHIEF FINANCIAL OFFICER	3231801
PAPPAS, ALBERT GEORGE	CHIEF COMPLIANCE OFFICER	1875535

Disclosures

Regulatory Event	22
Arbitration	1

Red Flags

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Michael J. Connor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael John Connor's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO SECURITIES, LLC

WELLS FARGO SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/27/2014

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/20/2014

Series 3

Date: 8/1/2006

Series 24

Date: 5/19/2015

FINRA

Nasdaq Stock Market

Current Firm

TRUIST SECURITIES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TRUIST SECURITIES, INC.

TRUST BUT VERIFY

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