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JC

John K. Connaughton

RHODEWAY FINANCIAL
PROVIDENCE, RI 02909
Some features on this profile are disabled
CRD#: 2483637
JC

Professional summary

John Kevin Connaughton, CFP® is a registered financial advisor currently at RHODEWAY FINANCIAL located in Providence, Rhode Island.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. John has worked at 2 firms and has passed the Series 65, Series 66, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

Click below to view John Kevin Connaughton's 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®
CFP®

Certified Financial Planner

Start date: 2022

Experience

Current

December 2, 2022 - Present

RHODEWAY FINANCIAL

Office #1: 518 Hartford Ave, Providence, RI 02909
RIA
CRD#: 323707
PROVIDENCE, RI
Past

May 26, 1995 - May 16, 1996

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME

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
Rhode Island
(12/2/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/5/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 1/14/2020
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/27/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/25/1995
Investment Company Products/Variable Contracts Representative Examination

Current Firm

RF
RHODEWAY FINANCIAL
RHODEWAY FINANCIAL

CRD#: 323707 / SEC#:

Rhode Island
Registered Investment Advisory firm - (12/2/2022 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
518 Hartford Ave, Providence, RI 02909
Mailing Address
Phone number
(401) 270-3462
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV
0

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.

Company Information

RHODEWAY FINANCIAL

CRD#: 323707Providence, RI 02909

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