SC
Shaun M. Connolly
IRON RIVER CAPITAL LLC
Durango, CO 81301
Some features on this profile are disabled
CRD#: 5683055
SC
Professional summary
Shaun Michael Connolly is a registered financial advisor currently at IRON RIVER CAPITAL LLC located in Durango, Colorado.
Shaun is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Shaun has worked at 5 firms and has passed the Series 66, SIE 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.
Shaun Michael Connolly is an independent licensed insurance producer for Connolly Financial LLC a licensed insurance broker, and also a managing member of Iron Gate Partners LLC a licensed insurance broker, approx. 10 hours per month. From time to time he will offer clients advice or products related to this activity. Clients should be aware that these services pay a commission or other form of compensation and involve a possible conflict of interest, as commissionable products can conflict with the fiduciary duties of a registered investment adviser. Connolly Financial always acts in the best interests of the client; including in the sale of commissionable products to advisory clients. Clients are in no way required to implement the plan through any representative of Connolly Financial in such individuals outside capacities. Shaun Connolly is also a radio show host approx. 12 hours per month for which he receives a monthly show sponsorship to cover station costs. Shaun Connolly is also a member of Akarana Holdings LLC, which exists to hold the real estate title of the Connolly Financial office. He does not devote any hours and receives no compensation at this time.
CRS (Client Relationship Summary) - RIA
Click below to view Shaun Michael Connolly's 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®
NoneExperience
Current
December 9, 2014 - Present
IRON RIVER CAPITAL LLC
Office #1: 752 Main Avenue Unit 201, Durango, CO 81301RIA
CRD#: 173307
Durango, CO
Past
January 25, 2017 - December 9, 2019
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
Farmington, NM
Past
September 12, 2014 - December 10, 2014
STONEX SECURITIES INC.
BD
CRD#: 18456
FARMINGTON, NM
Past
June 6, 2011 - December 12, 2014
WRP INVESTMENTS, INC.
RIA
CRD#: 7365
FARMINGTON, NM
Past
May 6, 2011 - September 12, 2014
WRP INVESTMENTS, INC.
BD
CRD#: 7365
FARMINGTON, NM
Past
September 29, 2009 - May 5, 2011
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
FARMINGTON, NM
Past
July 29, 2009 - May 5, 2011
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
FARMINGTON, NM
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
Arizona(6/26/2017)
IAR
Colorado(3/15/2017)
IAR
New Mexico(12/9/2014)
IAR
North Carolina(11/7/2019)
IAR
Texas(8/15/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
IR
IRON RIVER CAPITAL LLC
CONNOLLY FINANCIAL | SHAUN CONNOLLY | IRON RIVER CAPITAL LLC | CONNOLLY, KERETH
CRD#: 173307 / SEC#:
Arizona
Registered Investment Advisory firm - (6/26/2017 Approved)Colorado
Registered Investment Advisory firm - (3/15/2017 Approved)New Mexico
Registered Investment Advisory firm - (11/10/2014 Approved)North Carolina
Registered Investment Advisory firm - (11/6/2019 Approved)Texas
Registered Investment Advisory firm - (4/15/2021 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
752 Main Avenue Unit 201, Durango, CO 81301
Mailing Address
Phone number
(970) 426-5300
Established
Firm type
Fiscal year end
# of Employees
5
Regulatory assets under management
| Total Number of Accounts | 379 |
| AUM (Assets Under Management) | $ 73,439,177 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
