CT
Connell J. Tarr
LPL ENTERPRISE
Dover, NH 03820
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CRD#: 442686
CT
Professional summary
Connell Joseph Tarr is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Dover, New Hampshire.
Connell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Connell has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1, Series 51 and Series 24 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.
Connell Tarr~6 Shelby Circle, Haverhill, ma 01832~rental of exhisting condo~N~rental property~12/2000~1 hrs/mo~0 trading hrs/mo;Massachusetts Mutual Life Ins;Principal Fin'l BREATHE NEW HAMPSHIRE POSITION: Finance committee member NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/19/2019 ADDRESS: 145 Hollis St, Manchester NH 03101, United States DESCRIPTION: Quarterly meetings and volunteer activities. BREATHE NEW HAMPSHIRE POSITION: Volunteer on the finance committee now being recommended as a board member. NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/08/2020 ADDRESS: 145 Hollis St Unit C, Manchester NH 03101, United States DESCRIPTION: Attend meetings and participate in setting direction to the organization. NAIFA MASSACHUSETTS POSITION: PAC Chair NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/21/2023 ADDRESS: 2400 Post Rd, Warwick RI 02886, United States DESCRIPTION: Keeping up on the government laws that effect our business. Encouraging members to be active PAC members.
CRS (Client Relationship Summary) - RIA
Click below to view Connell Joseph Tarr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Connell Joseph Tarr'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®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 6 Dover Point Road Suite B1, Dover, NH 03820RIA
BD
CRD#: 8733
Dover, NH
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 6 Dover Point Road Suite B1, Dover, NH 03820RIA
BD
CRD#: 8733
Dover, NH
Past
June 11, 2014 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Dover, NH
Past
May 9, 2014 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Dover, NH
Past
April 4, 2008 - May 5, 2014
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
DANVERS, MA
Past
June 19, 2006 - April 11, 2008
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
BOSTON, MA
Past
March 23, 2004 - June 5, 2006
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
WALTHAM, MA
Past
January 30, 2004 - June 5, 2006
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
WALTHAM, MA
Past
April 30, 1999 - January 28, 2004
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
BURLINGTON, MA
Past
May 18, 1987 - January 28, 2004
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
September 27, 1984 - May 26, 1987
NEW ENGLAND SECURITIES
BD
CRD#: 615
Past
July 6, 1973 - September 10, 1984
VP DISTRIBUTORS LLC
BD
CRD#: 3036
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
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
RR
Alaska(1/28/2025)
RR
Connecticut(11/14/2024)
RR
Florida(11/15/2024)
RR
Maine(11/14/2024)
RR
Massachusetts(11/14/2024)
IAR
Massachusetts(11/14/2024)
RR
New Hampshire(11/14/2024)
IAR
New Hampshire(11/14/2024)
RR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
RR
North Carolina(11/14/2024)
RR
Texas(11/14/2024)
RR
Vermont(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 7/3/1973
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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
LPL ENTERPRISE, LLC
CRD#: 8733Dover, NH 03820TRUST BUT VERIFY
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