Sean M. Connolly
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.
Sean Michael Connolly was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2011. Sean had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2015 - October 31, 2016
PARSONEX SECURITIES, INC.
August 3, 2012 - January 15, 2013
MVP AMERICAN SECURITIES
August 15, 2011 - June 28, 2012
J. W. COLE ADVISORS, INC.
June 30, 2011 - June 28, 2012
J.W. COLE FINANCIAL, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PARSONEX SECURITIES, INC.
CRD#: 144412 / SEC#: , 8-67652
Contact information
FINRA licenses (50 States and Territories)
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.
