Sarita S. Connelly
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.
Sarita Smith Connelly, who also goes by Sarita Smith Childs, Sarita Connelly, Sarita Margaret Smith, Sarita Smith, Sarita Smith Childs, Sarita Smith-childs, was a registered financial professional .
Sarita is a previously registered financial professional and started their career in finance in 1992. Sarita had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2017 - April 9, 2018
MULTI-BANK SECURITIES, INC.
November 2, 2015 - May 1, 2017
DREXEL HAMILTON, LLC
May 13, 2013 - October 19, 2015
BMO CAPITAL MARKETS GKST INC.
September 21, 2009 - May 24, 2013
BMO HARRIS FINANCIAL ADVISORS, INC.
September 21, 2009 - May 24, 2013
BMO HARRIS FINANCIAL ADVISORS, INC.
January 29, 2009 - July 22, 2009
CHASE INVESTMENT SERVICES CORP.
January 29, 2009 - July 22, 2009
CHASE INVESTMENT SERVICES CORP.
July 17, 2008 - January 15, 2009
FINANCIAL SECURITY ADVISORY INC
July 17, 2008 - January 14, 2009
FINANCIAL SECURITY MANAGEMENT, INCORPORATED
June 4, 2008 - July 2, 2008
WADDELL & REED
June 3, 2008 - July 2, 2008
WADDELL & REED
April 24, 2006 - February 6, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 24, 2006 - February 6, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 22, 2004 - February 6, 2006
UBS FINANCIAL SERVICES INC.
November 10, 2004 - February 6, 2006
UBS FINANCIAL SERVICES INC.
November 11, 1994 - March 8, 1999
ABN AMRO INCORPORATED
April 24, 1992 - November 28, 1994
LASALLE FINANCIAL SERVICES, INC.
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
Current Firm
MULTI-BANK SECURITIES, INC.
CRD#: 22098 / SEC#: , 8-39547
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
