Connie Mae John
Professional Summary
Connie Mae John, who also goes by Connie Kuhlman, Connie Mae Lyons, Connie Lyons, was a registered financial advisor. Connie was a previously registered financial professional and started their career in finance 1993 - 2015. Connie had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Connie Mae John, Connie Kuhlman, Connie Mae Lyons, Connie Lyons
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
No current employment
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
33 years registered in the securities industry
Current & Past Employments
Past
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
CITIGROUP INSTITUTIONAL CONSULTING | SMITH BARNEY | PRIVATE PORTFOLIO GROUP | MORGAN STANLEY WEALTH MANAGEMENT | MORGAN STANLEY SMITH BARNEY LLC | MORGAN STANLEY SMITH BARNEY | MORGAN STANLEY PRIVATE WEALTH MANAGEMENT | MORGAN STANLEY CONSULTING GROUP | MORGAN STANLEY | GRAYSTONE CONSULTING | E*TRADE FROM MORGAN STANLEY | CONSULTING GROUP
Contact Information
Main Address
2000 Westchester Avenue, Purchase, NY 10577-2530Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231Phone Number
(914) 225-1000Established
Delaware since 02/02/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
29,481SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | — |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| LUMIA, VINCENT JOHN | DIRECTOR | 3147533 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory Assets Under Management
Total Number of Accounts
2,703,720AUM (Assets Under Management)
$1,961,887,313,229Disclosures
Regulatory Event
66Arbitration
119Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/11/2026 | Cover Page | Report |
| 08/20/2025 | Cover Page | Report |
| 07/23/2024 | Cover Page | Report |
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Primary Firm SEC Registration
CITIGROUP INSTITUTIONAL CONSULTING | SMITH BARNEY | PRIVATE PORTFOLIO GROUP | MORGAN STANLEY WEALTH MANAGEMENT | MORGAN STANLEY SMITH BARNEY LLC | MORGAN STANLEY SMITH BARNEY | MORGAN STANLEY PRIVATE WEALTH MANAGEMENT | MORGAN STANLEY CONSULTING GROUP | MORGAN STANLEY | GRAYSTONE CONSULTING | E*TRADE FROM MORGAN STANLEY | CONSULTING GROUP
State Registrations and Notice Filings
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1993About the Series 6 examSimilar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC