Sean P. Connolly

AVOCET CAPITAL MANAGEMENT

LIBERTYVILE, IL

CRD#: 5109902

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Professional summary

Sean Patrick Connolly is a registered financial advisor currently at AVOCET CAPITAL MANAGEMENT LLC located in Libertyvile, Illinois.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Sean has worked at 2 firms and has passed the Series 66, Series 87 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Patrick 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

June 4, 2024 - Present

AVOCET CAPITAL MANAGEMENT LLC

RIA

CRD#: 156261

LIBERTYVILE, IL

Past

December 11, 2006 - August 14, 2009

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

MILWAUKEE, WI

Past

October 16, 2006 - August 14, 2009

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

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".

AVOCET CAPITAL MANAGEMENT LLC

CRD#: 156261 / SEC#: 801-124866

RIA

Registered Investment Advisory firm - (5/2/2022 Approved)

Illinois

Registered Investment Advisory firm - (5/9/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(6/4/2024)

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

IAR

Series 66

Date: 12/8/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 87

Date: 1/9/2007

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 10/13/2006

General Securities Representative Examination

Current Firm

AVOCET CAPITAL MANAGEMENT LLC

CRD#: 156261 / SEC#: 801-124866

RIA

Registered Investment Advisory firm - (5/2/2022 Approved)

Illinois

Registered Investment Advisory firm - (5/9/2022 Terminated)

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Contact information

Main Address

1363 Shermer Road Suite 200, Northbrook, IL 60062

Mailing Address

Phone number

(312) 925-0152

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AVOCET CAPITAL MANAGEMENT BROCHURE (3/4/2026)

Regulatory assets under management

Total Number of Accounts	194
AUM (Assets Under Management)	$ 157,774,773

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.

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Sean P. Connolly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Patrick Connolly's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVOCET CAPITAL MANAGEMENT LLC

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

Primary Firm SEC Registration

AVOCET CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/8/2006

Series 87

Date: 1/9/2007

Series 7

Date: 10/13/2006

Current Firm

AVOCET CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AVOCET CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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