James B. Connellan
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.
James B Connellan, who also goes by James B. Connellan, James Brian Connellan, Jim Connellan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2012 - April 6, 2016
BMO HARRIS FINANCIAL ADVISORS, INC.
May 23, 2012 - April 6, 2016
BMO HARRIS FINANCIAL ADVISORS, INC.
June 3, 2011 - October 25, 2011
WADDELL & REED
April 15, 2011 - October 25, 2011
WADDELL & REED
May 10, 2006 - April 12, 2011
CHARLES SCHWAB & CO., INC.
April 15, 2005 - June 27, 2005
WILLIAM BLAIR
March 29, 2001 - March 23, 2005
BANC ONE SECURITIES CORPORATION
November 22, 2000 - February 9, 2001
CAMBRIDGE INVESTMENT RESEARCH, INC.
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 55
Date: 10/10/2003
Limited Representative-Equity Trader ExamCurrent Firm
BMO HARRIS FINANCIAL ADVISORS, INC.
CRD#: 137115 / SEC#: 801-64847, 8-67064
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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