James V. Connell

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CRD#: 52278

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.

James Vincent Connell, who also goes by Jim Connell, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1965. James had worked at 8 firms and has passed the Series 63, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Connell

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 6, 2009 - December 14, 2016

ASHTON THOMAS SECURITIES, LLC

CRD#: 16629

ENDICOTT, NY

Past

March 5, 1985 - December 31, 2008

IAA FINANCIAL LLC

CRD#: 6578

ENDICOTT, NY

Past

February 9, 1984 - September 13, 1990

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

December 2, 1981 - March 23, 1984

J. S. BARR & CO., INC.

CRD#: 1172

Past

April 3, 1974 - March 6, 1982

IAA FINANCIAL LLC

CRD#: 6578

Past

March 7, 1973 - April 6, 1974

INDEPENDENT SECURITIES CORPORATION

CRD#: 262

Past

June 19, 1972 - April 21, 1973

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

Past

January 26, 1970 - January 10, 1972

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

CRD#: 2682

Past

December 31, 1965 - August 5, 1972

CLARENCE A GOODELLE CO

CRD#: 1000001

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".

ASHTON THOMAS SECURITIES, LLC

CRD#: 16629 / SEC#: 801-69225, 8-34261

RIA

Registered Investment Advisory firm - SEC (6/11/2008 Approved)

Florida

Registered Investment Advisory firm - SEC (6/18/2008 Terminated)

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

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 1/9/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/14/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 9/6/1961

Registered Representative Examination

Current Firm

ASHTON THOMAS SECURITIES, LLC

CRD#: 16629 / SEC#: 801-69225, 8-34261

RIA

Registered Investment Advisory firm - SEC (6/11/2008 Approved)

Florida

Registered Investment Advisory firm - SEC (6/18/2008 Terminated)

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

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Contact information

Main Address

200 Canal View Blvd. Suite 204, Rochester, NY 14623

Mailing Address

200 Canal View Blvd. Ste. 204, Rochester, NY 14623

Phone number

(585) 424-1234

Established

Delaware since 01/08/2024

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (43 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (8/15/2025)

ADV PART 2A, APPENDIX 1 WRAP FEE PROGRAM BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
EXPLORER INVESTMENT HOLDINGS, LLC	MEMBER
BRITT, TERRENCE PATRICK	VICE PRESIDENT / CHIEF OPERATING OFFICER	2165686
JOHNSON, KIMBERLY	CHIEF COMPLIANCE OFFICER	5378831
LANZISERA, JOSEPH ANTHONY	PRESIDENT AND CHIEF FINANCIAL OFFICER	1052572

Regulatory assets under management

Total Number of Accounts	2,599
AUM (Assets Under Management)	$ 1,717,957,312

Disclosures

Regulatory Event	4
Arbitration	2

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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Firm Stability Insights

James V. Connell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

IAA FINANCIAL LLC

PRINCIPAL SECURITIES, INC.

J. S. BARR & CO., INC.

IAA FINANCIAL LLC

INDEPENDENT SECURITIES CORPORATION

ADVANTAGE CAPITAL CORPORATION

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

CLARENCE A GOODELLE CO

Primary Firm SEC Registration

ASHTON THOMAS SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/9/1998

SIE

Date: 12/14/2016

Series 1

Date: 9/6/1961

Current Firm

ASHTON THOMAS SECURITIES, LLC

Contact information

SEC notice filing (43 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ASHTON THOMAS SECURITIES, LLC

TRUST BUT VERIFY

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