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CH

Connor R. Houlihan

Some features on this profile are disabled
CRD#: 5881228
CH

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.

Connor Robert Houlihan, who also goes by Connor R Houlihan, Connor Houlihan, was a registered financial professional .

Connor is a previously registered financial professional and started their career in finance in 2011. Connor had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Connor R Houlihan | Connor Houlihan

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

March 10, 2024 - April 1, 2024

ALTO SECURITIES, LLC

BD
CRD#: 318536
NASHVILLE, TN
Past

October 20, 2020 - February 23, 2024

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

June 19, 2020 - August 12, 2020

HALO SECURITIES, LLC

BD
CRD#: 279029
Chicago, IL
Past

May 13, 2015 - March 23, 2020

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

March 25, 2011 - January 7, 2015

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
CHICAGO, IL

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/8/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/6/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/24/2011
General Securities Representative Examination

Current Firm

AS
ALTO SECURITIES, LLC
ALTO SECURITIES, LLC

CRD#: 318536 / SEC#: , 8-70863

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
500 11th Avenue N Suite 790, Nashville, TN 37203
Mailing Address
500 11th Avenue N Suite 790, Nashville, TN 37203
Phone number
(917) 495-8074
Established
Delaware since 12/20/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALTO SOLUTIONS, INC.OWNER
FRAIOLI, BRIAN MICHAELCCO2792474
HARRIGAN, SCOTT MICHAELCHIEF EXECUTIVE OFFICER / MANAGER4399207
ROMERO, MONIQUE VICTORIAFINOP / PFO / POO

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.

Company Information

ALTO SECURITIES, LLC

CRD#: 318536

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