Christopher M. 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.
Christopher Michael Connolly, who also goes by Chris M Connolly, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1992. Christopher had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2014 - March 4, 2015
HOCKING CAPITAL, LLC
October 9, 2002 - March 15, 2013
SUNGARD INSTITUTIONAL BROKERAGE INC.
September 28, 1999 - November 3, 2000
BRIDGE TRADING COMPANY
April 8, 1998 - November 11, 1998
LEHMAN BROTHERS INC.
January 7, 1992 - February 25, 1998
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
HOCKING CAPITAL, LLC
CRD#: 148088 / SEC#: , 8-67963
Contact information
Documents
Red Flags
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