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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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NC

Neil J. Connolly

RIGDEN CAPITAL STRATEGIES
Overland Park, KS
Some features on this profile are disabled
CRD#: 3051216
NC

Professional summary

Neil James Connolly, CFP®, who also goes by Neil J Connolly, is a registered financial advisor currently at RIGDEN CAPITAL STRATEGIES located in Overland Park, Kansas.

Neil is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Neil has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Neil J Connolly

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 Neil James Connolly's CRS (Customer Relationship Summary).
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

Experience

Current

November 18, 2025 - Present

RIGDEN CAPITAL STRATEGIES

RIA
CRD#: 326930
Overland Park, KS
Past

August 13, 2025 - November 18, 2025

KEEN WEALTH ADVISORS

RIA
CRD#: 170293
OVERLAND PARK, KS
Past

June 28, 2024 - August 8, 2025

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
OVERLAND PARK, KS
Past

June 28, 2024 - August 8, 2025

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
OVERLAND PARK, KS
Past

January 23, 2024 - July 3, 2024

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
OVERLAND PARK, KS
Past

January 23, 2024 - July 3, 2024

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
OVERLAND PARK, KS
Past

January 10, 2022 - January 10, 2024

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Leawood, KS
Past

January 9, 2022 - January 10, 2024

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Leawood, KS
Past

May 17, 2006 - September 7, 2023

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
Leawood, KS
Past

September 1, 2005 - October 14, 2022

TD AMERITRADE, INC.

RIA
CRD#: 7870
Leawood, KS
Past

July 12, 2005 - December 20, 2023

TD AMERITRADE, INC.

BD
CRD#: 7870
Leawood, KS
Past

May 24, 2000 - July 11, 2005

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

June 10, 1998 - August 12, 1998

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

June 10, 1998 - August 12, 1998

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RC
RIGDEN CAPITAL STRATEGIES
RIGDEN CAPITAL | RIGDEN ENTERPRISES | RIGDEN CAPITAL STRATEGIES

CRD#: 326930 / SEC#: 801-132101

RIA
Registered Investment Advisory firm - (3/6/2025 Approved)

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
Colorado
(3/30/2026)
IAR
Kansas
(11/18/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/25/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/6/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/1/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/9/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/29/2021
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/8/2021
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/10/2015
General Securities Principal Examination

Current Firm

RC
RIGDEN CAPITAL STRATEGIES
RIGDEN CAPITAL | RIGDEN ENTERPRISES | RIGDEN CAPITAL STRATEGIES

CRD#: 326930 / SEC#: 801-132101

RIA
Registered Investment Advisory firm - (3/6/2025 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
4600 S Syracuse St 9th Floor, Denver, CO 80237
Mailing Address
Phone number
(303) 351-1618
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A & 2B (7/1/2025)

Regulatory assets under management

Total Number of Accounts578
AUM (Assets Under Management)$ 104,069,908

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

RIGDEN CAPITAL STRATEGIES

CRD#: 326930Overland Park, KS

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