Patrick J. Connell
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.
Patrick James Connell was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2002. Patrick had worked at 3 firms and has passed the Series 63, SIE, Series 22 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2015 - June 22, 2018
RIVERSTONE CAPITAL SERVICES LLC
September 24, 2010 - December 9, 2011
FORESIDE FUND SERVICES, LLC
December 19, 2002 - July 3, 2007
J.P. MORGAN SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RIVERSTONE CAPITAL SERVICES LLC
CRD#: 172056 / SEC#: , 8-69497
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RIVERSTONE EQUITY PARTNERS LP | PARENT | |
| ABBATE, CHRISTOPHER ANTHONY | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER | 2910866 |
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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