Brendan M. Connolly

RIDGEBACK SECURITIES, LTD

Houston, TX 77002-8841

Some features on this profile are disabled

CRD#: 4352883

Professional summary

Brendan Mackey Connolly, who also goes by Brendan Connolly, is a registered financial professional currently at RIDGEBACK SECURITIES, LTD located in Houston, Texas.

Brendan is registered as a RR (Registered Representative) and started their career in finance in 2001. Brendan has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brendan 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) - BD

Click below to view Brendan Mackey 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®

None

Experience

Current

April 7, 2025 - Present

RIDGEBACK SECURITIES, LTD

Office #1: 1218 Webster Street, Houston, TX 77002-8841

CRD#: 120448

Houston, TX

Past

July 1, 2019 - October 19, 2023

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

September 26, 2017 - June 21, 2019

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

June 5, 2006 - July 31, 2009

SENTINEL FINANCIAL SERVICES COMPANY

CRD#: 31175

MONTPELIER, VT

Past

March 31, 2006 - March 3, 2017

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

January 25, 2005 - June 16, 2005

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

May 17, 2001 - October 22, 2003

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

North Carolina
(4/7/2025)

Texas
(4/7/2025)

Exams

State Security Law Exam

Series 63

Date: 5/31/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/16/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 10/25/2006

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/9/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

RIDGEBACK SECURITIES, LTD

MID-CONTINENT SECURITIES ADVISORS, LTD. | RIDGEBACK SECURITIES, LTD | MID-CONTINENT SECURITIES, LTD.

CRD#: 120448 / SEC#: , 8-65298

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1218 Webster Street, Houston, TX 77002-8841

Mailing Address

1218 Webster Street, Houston, TX 77002-8841

Phone number

(713) 289-6200

Established

Texas since 04/01/2002

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (24 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
THE RIDGEBACK GROUP, LLC	LIMITED PARTNER
CAPITAL FINANCIAL GROUP, INC.	LIMITED PARTNER
BRISTOW, BRIAN BRUCE	CHIEF OPERATING OFFICER	3151921
CONNOLLY, BRENDAN MACKEY	CHIEF COMPLIANCE OFFICER	4352883
MCSALGP, LLC	GENERAL PARTNER
VANPELT, WILLIAM HENRY IV	PRESIDENT, FINOP, MANAGER, SECRETARY, TREASURER	1716622

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.

Similar Advisors

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

James Marshall

MARSHALL WEALTH MANAGEMENT, LLC

IAR

SUGAR LAND, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brendan M. Connolly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brendan Mackey Connolly's CRS (Customer Relationship Summary).

Certified licenses

Experience

VALIC FINANCIAL ADVISORS, INC.

NEXT FINANCIAL GROUP, INC.

SENTINEL FINANCIAL SERVICES COMPANY

EQUITY SERVICES, INC.

OSAIC FS, INC.

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/31/2001

SIE

Date: 10/1/2018

Series 7

Date: 5/16/2001

Series 4

Date: 10/25/2006

Series 24

Date: 5/9/2006

FINRA

Current Firm

RIDGEBACK SECURITIES, LTD

Contact information

FINRA licenses (24 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

RIDGEBACK SECURITIES, LTD

TRUST BUT VERIFY

Similar Advisors