Shaun M. Connolly

IRON RIVER CAPITAL LLC

Durango, CO 81301

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CRD#: 5683055

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Current

December 9, 2014 - Present

IRON RIVER CAPITAL LLC

Office #1: 752 Main Avenue Unit 201, Durango, CO 81301

RIA

CRD#: 173307

Durango, CO

Past

January 25, 2017 - December 9, 2019

REGULUS FINANCIAL GROUP, LLC

CRD#: 150631

Farmington, NM

Past

September 12, 2014 - December 10, 2014

STONEX SECURITIES INC.

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.

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

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

Florida
(11/18/2025)

IAR

New Mexico
(12/9/2014)

IAR

North Carolina
(11/7/2019)

IAR

Texas
(8/15/2018)

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: 9/4/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/28/2009

General Securities Representative Examination

Current Firm

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)

Florida

Registered Investment Advisory firm - (11/18/2025 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)

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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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	397
AUM (Assets Under Management)	$ 94,143,088

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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Shaun M. Connolly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shaun Michael Connolly's CRS (Customer Relationship Summary).

Certified licenses

Experience

IRON RIVER CAPITAL LLC

REGULUS FINANCIAL GROUP, LLC

STONEX SECURITIES INC.

WRP INVESTMENTS, INC.

WRP INVESTMENTS, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/4/2009

SIE

Date: 10/1/2018

Series 7

Date: 7/28/2009

Current Firm

IRON RIVER CAPITAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

IRON RIVER CAPITAL LLC

TRUST BUT VERIFY

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