PC
Patrick J. Connelly
PROFESSIONAL PLANNING GROUP
Westerly, RI 02891
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CRD#: 5934645
PC
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.
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.
(1)Name of Business: Professional Planning Group Address: 9 Granite St, Westerly, RI, 02891-2207, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 08/26/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Trading, client service, client reviews (2)Name of Business: Westerly Education Endowment Fund Address: 122 Granite St, Westerly, RI, 02891, United States Activity Type: Non profit Position/Title: Board Member, Finance/Investment Committee Member Investment Related: Yes Start Date: 05/10/2023 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Board Member & Finance Committee Member - review and vote upon initiatives by local teachers, professionals, and community members to provide grants for enhanced educational experiences to Westerly students. Finance committee member duties include more detailed discussions regarding organization books and records, cash flow statements, balance sheets, etc.
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Joseph Connelly'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
October 2, 2019 - Present
PROFESSIONAL PLANNING GROUP
Office #1: 9 Granite Street, Westerly, RI 02891RIA
CRD#: 108868
Westerly, RI
Current
September 11, 2019 - Present
RAYMOND JAMES FINANCIAL SERVICES, INC.
Office #1: 9 Granite Street, Westerly, RI 02891BD
CRD#: 6694
Westerly, RI
Past
October 21, 2015 - August 16, 2019
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
WARWICK, RI
Past
June 24, 2015 - August 16, 2019
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
WARWICK, RI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PP
PROFESSIONAL PLANNING GROUP
NEW ENGLAND PROFESSIONAL PLANNING GROUP INC | PROFESSIONAL PLANNING GROUP | NEW ENGLAND PROFESSIONAL PLANNING GROUP INC.
CRD#: 108868 / SEC#: 801-15330
RIA
Registered Investment Advisory firm - (7/18/1980 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/8/2020)
RR
California(2/19/2020)
RR
Connecticut(10/22/2019)
RR
District of Columbia(8/18/2021)
RR
Florida(10/22/2019)
RR
Indiana(1/4/2023)
RR
Maine(2/14/2020)
RR
Maryland(10/22/2019)
RR
Massachusetts(10/22/2019)
RR
Nevada(9/29/2020)
RR
New Hampshire(4/24/2020)
RR
New Jersey(5/11/2020)
RR
New York(10/22/2019)
RR
North Carolina(2/27/2020)
RR
Ohio(4/8/2020)
RR
Pennsylvania(9/23/2020)
RR
Rhode Island(9/11/2019)
IAR
Rhode Island(10/2/2019)
RR
South Carolina(1/13/2020)
RR
Texas(4/8/2020)
IAR
Texas(11/13/2020)
RR
Vermont(3/19/2021)
RR
Virginia(4/8/2020)
RR
Washington(4/8/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PP
PROFESSIONAL PLANNING GROUP
NEW ENGLAND PROFESSIONAL PLANNING GROUP INC | PROFESSIONAL PLANNING GROUP | NEW ENGLAND PROFESSIONAL PLANNING GROUP INC.
CRD#: 108868 / SEC#: 801-15330
RIA
Registered Investment Advisory firm - (7/18/1980 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9 Granite Street, Westerly, RI 02891
Mailing Address
Phone number
(401) 596-2800
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,354 |
| AUM (Assets Under Management) | $ 1,166,383,072 |
Red Flags
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Company Information
PROFESSIONAL PLANNING GROUP
CRD#: 108868Westerly, RI 02891TRUST BUT VERIFY
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