Patrick Joseph Connelly
Professional Summary
Patrick Joseph Connelly is a registered financial advisor currently at PROFESSIONAL PLANNING GROUP located in Westerly, Rhode Island and RAYMOND JAMES FINANCIAL SERVICES, INC. located in Westerly, Rhode Island. Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Patrick has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
11 years in the financial services industry
Current & Past Employments
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Current Firm
NEW ENGLAND PROFESSIONAL PLANNING GROUP INC | PROFESSIONAL PLANNING GROUP | NEW ENGLAND PROFESSIONAL PLANNING GROUP INC.
Contact Information
Main Address
9 Granite Street, Westerly, RI 02891Phone Number
(401) 596-2800# of Employees
16SEC notice filing (18 States and Territories)
Registered to provide investment advisory services in 18 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
2,395AUM (Assets Under Management)
$1,316,426,626Similar Advisors
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.
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Primary Firm SEC Registration
NEW ENGLAND PROFESSIONAL PLANNING GROUP INC | PROFESSIONAL PLANNING GROUP | NEW ENGLAND PROFESSIONAL PLANNING GROUP INC.
State Registrations and Notice Filings
(10/8/2020)
(2/19/2020)
(10/22/2019)
(8/18/2021)
(10/22/2019)
(1/4/2023)
(2/14/2020)
(10/22/2019)
(10/22/2019)
(9/29/2020)
(4/24/2020)
(5/11/2020)
(10/22/2019)
(2/27/2020)
(4/8/2020)
(1/15/2026)
(9/23/2020)
(9/11/2019)
(10/2/2019)
(1/13/2020)
(4/8/2020)
(11/13/2020)
(3/19/2021)
(4/8/2020)
(4/8/2020)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Patrick Joseph Connelly's CRS (Customer Relationship Summary).
