Patrick D. Glavey

CONNING INVESTMENT PRODUCTS

New York, NY 10177

CRD#: 4990882

Some features on this profile are disabled

Professional summary

Patrick Dennis Glavey, who also goes by Patrick Dennis Glavey Mr., is a registered financial professional currently at CONNING INVESTMENT PRODUCTS, INC. located in New York, New York.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 2005. Patrick has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Patrick Dennis Glavey Mr.

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 Patrick Dennis Glavey'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

May 26, 2026 - Present

CONNING INVESTMENT PRODUCTS, INC.

Office #1: 250 Park Avenue 15th Floor, New York, NY 10177

RIA

CRD#: 120387

New York, NY

Past

March 16, 2020 - April 23, 2026

FEF DISTRIBUTORS, LLC

CRD#: 46585

New York, NY

Past

November 11, 2005 - September 22, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

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".

CONNING INVESTMENT PRODUCTS, INC.

CONNING | CONNING RESEARCH & CONSULTING, INC. | CONNING INVESTMENT PRODUCTS, INC.

CRD#: 120387 / SEC#: 801-79816, 8-66444

RIA

Registered Investment Advisory firm - SEC (6/5/2014 Approved)

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

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

California
(5/26/2026)

Connecticut
(5/26/2026)

Illinois
(5/26/2026)

Massachusetts
(5/26/2026)

New Jersey
(5/26/2026)

New York
(5/26/2026)

Texas
(5/26/2026)

Virginia
(5/26/2026)

Wisconsin
(5/26/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/23/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/16/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/27/2020

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/10/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CONNING INVESTMENT PRODUCTS, INC.

CONNING | CONNING RESEARCH & CONSULTING, INC. | CONNING INVESTMENT PRODUCTS, INC.

CRD#: 120387 / SEC#: 801-79816, 8-66444

RIA

Registered Investment Advisory firm - SEC (6/5/2014 Approved)

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

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

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

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

Contact information

Main Address

One Financial Plaza 755 Main Street, Hartford, CT 06103

Mailing Address

One Financial Plaza, Hartford, CT 06103-2627

Phone number

(860) 299-2000

Established

Delaware since 02/13/2002

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (1 States and Territories)

FINRA licenses (12 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MARCH 2025 (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
CONNING & COMPANY	SHAREHOLDER
BRADFORD, LINWOOD EARLE JR	CHAIR BOARD OF DIRECTORS	4179446
DALY, MATTHEW KENNETH	PRESIDENT & HEAD OF SALES/ BOARD MEMBER	2638773
GEORGE, KENNETH RONALD	FINOP	2643369
LEE, JUNG WON	MANAGING DIRECTOR, CFO & COO, BOARD MEMBER	2791334
PEARCE, ROBERT STEDMAN	MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER	1991468
SMALLEY, VI (VIOLA) R.	CHIEF LEGAL COUNSEL/CORPORATE SECRETARY	5899872

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 517,711,336

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

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Anthony Macagna

LPL FINANCIAL LLC

IAR

PARAMUS, NJ

Anita Srivastava

MORGAN STANLEY

IAR

Paramus, NJ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Patrick D. Glavey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patrick Dennis Glavey's CRS (Customer Relationship Summary).

Certified licenses

Experience

FEF DISTRIBUTORS, LLC

J.P. MORGAN SECURITIES INC.

Primary Firm SEC Registration

CONNING INVESTMENT PRODUCTS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/23/2020

Series 7TO

Date: 3/16/2020

SIE

Date: 1/27/2020

Series 7

Date: 11/10/2005

FINRA

Current Firm

CONNING INVESTMENT PRODUCTS, INC.

Contact information

SEC notice filing (1 States and Territories)

FINRA licenses (12 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

CONNING INVESTMENT PRODUCTS, INC.

TRUST BUT VERIFY

Similar Advisors