Michael J. Connolly
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.
Michael J. Connolly, who also goes by Michael J. Connolly, Mike Connolly, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2001. Michael had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2021 - March 17, 2025
FEF DISTRIBUTORS, LLC
February 19, 2021 - February 4, 2022
BMO ASSET MANAGEMENT CORP.
May 18, 2020 - December 31, 2020
BMO ASSET MANAGEMENT CORP.
May 1, 2020 - December 3, 2021
FORESIDE FINANCIAL SERVICES, LLC
May 1, 2010 - November 26, 2019
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
May 1, 2010 - November 26, 2019
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
February 16, 2007 - May 1, 2010
BOFA ADVISORS, LLC
January 17, 2007 - May 1, 2010
BOFA DISTRIBUTORS, INC.
January 1, 2005 - January 12, 2007
MMC SECURITIES LLC
September 25, 2001 - January 1, 2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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
Current Firm
FEF DISTRIBUTORS, LLC
CRD#: 46585 / SEC#: , 8-51483
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST EAGLE INVESTMENT MANAGEMENT, LLC | MANAGING MEMBER | 108260 |
| BRUNO, ROBERT | MANAGER | 2102844 |
| CARULLO, MODESTINO VITO | CHIEF COMPLIANCE OFFICER | 1528768 |
| CONSTANTINO, MICHAEL | MANAGER | 2932606 |
| FONG, CHUN WAI | CHIEF FINANCIAL OFFICER AND FINOP | 4944446 |
| OCONNOR, DAVID | GENERAL COUNSEL AND MANAGER | 5077118 |
| RICCIO, FRANK JOSEPH | PRESIDENT AND MANAGER | 4271374 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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