Shawn L. Connolly

CONNOLLY WEALTH MANAGEMENT

AUSTIN, TX

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CRD#: 2842213

Professional summary

Shawn Lawrence Connolly is a registered financial advisor currently at CONNOLLY WEALTH MANAGEMENT located in Austin, Texas.

Shawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Shawn has worked at 6 firms and has passed the Series 65, Series 63 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.

CONNOLLY FINANCIAL GROUP, INVESTMENT RELATED, AUSTIN TX 78783, INSURANCE SALES, President/Insurance Agent,11/1995, 80HRS PER/MONTH DURING TRADING HOURS. HE ALSO CONDUCTS TRUST REVIEWS AND INSURANCE SALES FOR CLA USA, A FINANCIAL SERVICES COMPANY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Lawrence Connolly'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®

None

Experience

Current

February 14, 2011 - Present

CONNOLLY WEALTH MANAGEMENT

RIA

CRD#: 155240

AUSTIN, TX

Past

June 9, 2022 - August 29, 2024

ABRAHAM & CO., INC.

RIA

CRD#: 299085

Austin, TX

Past

October 14, 2009 - April 4, 2011

GRADIENT SECURITIES, LLC

CRD#: 127701

DRIPPING SPRINGS, TX

Past

October 24, 2003 - March 13, 2009

WORLD GROUP SECURITIES, INC.

CRD#: 114473

AUSTIN, TX

Past

May 26, 2000 - October 29, 2003

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

January 8, 1997 - June 9, 2000

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

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

Texas
(2/14/2011)

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

State Security Law Exam

IAR

Series 65

Date: 12/20/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/15/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 1/7/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CONNOLLY WEALTH MANAGEMENT

CONNOLLY FINANCIAL GROUP, LLC | CONNOLLY, SHAWN, LAWRENCE | CONNOLLY WEALTH MANAGEMENT, LLC | CONNOLLY WEALTH MANAGEMENT

CRD#: 155240 / SEC#:

Texas

Registered Investment Advisory firm - (2/14/2011 Approved)

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Contact information

Main Address

Austin, TX

Mailing Address

Phone number

(512) 419-1893

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Shawn L. Connolly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Lawrence Connolly's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONNOLLY WEALTH MANAGEMENT

ABRAHAM & CO., INC.

GRADIENT SECURITIES, LLC

WORLD GROUP SECURITIES, INC.

WOODBURY FINANCIAL SERVICES, INC.

MONY SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/2008

Series 63

Date: 1/15/1997

Series 6

Date: 1/7/1997

Current Firm

CONNOLLY WEALTH MANAGEMENT

Contact information

Documents

Red Flags

Company Information

CONNOLLY WEALTH MANAGEMENT

TRUST BUT VERIFY

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