John F. 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.
John F Connolly, who also goes by John Connolly, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 2 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2010 - December 4, 2018
WRIGHT INVESTORS SERVICE INC
March 2, 2005 - April 18, 2018
WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.
September 26, 1996 - October 13, 2003
WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.
April 12, 1996 - December 31, 2003
WRIGHT INVESTORS SERVICE INC
Primary Firm SEC Registration
WRIGHT INVESTORS SERVICE INC
CRD#: 106302 / SEC#: 801-51257
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
Series 2
Date: 7/9/1996
Non-Member General Securities ExaminationCurrent Firm
WRIGHT INVESTORS SERVICE INC
CRD#: 106302 / SEC#: 801-51257
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,286 |
| AUM (Assets Under Management) | $ 1,237,999,777 |
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.
