Connerton B. Brophy
Professional summary
Connerton Bonn Brophy, who also goes by Conner Brophy, Connerton Bonn Brophy, is a registered financial professional currently at HARRIS WILLIAMS located in New York, New York.
Connerton is registered as a RR (Registered Representative) and started their career in finance in 2014. Connerton has worked at 7 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Connerton Bonn Brophy's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 1, 2023 - Present
HARRIS WILLIAMS
Office #1: 600 Lexington Ave. 11th Floor, New York, NY 10022December 9, 2022 - August 2, 2023
SIXPOINT PARTNERS LLC
January 14, 2022 - November 22, 2022
KINGSWOOD CAPITAL PARTNERS, LLC
October 13, 2021 - January 6, 2022
FOUR POINTS CAPITAL PARTNERS LLC
March 28, 2019 - December 10, 2020
SMBC NIKKO SECURITIES AMERICA, INC.
July 17, 2015 - November 27, 2017
COMMERZ MARKETS LLC
September 15, 2014 - May 13, 2015
DINOSAUR FINANCIAL GROUP, L.L.C
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/1/2023)
Exams
Series 79TO
Date: 6/28/2019
Investment Banking Registered Representative ExaminationFINRA
Current Firm
HARRIS WILLIAMS
CRD#: 113930 / SEC#: , 8-53380
Contact information
FINRA licenses (45 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BALTIMORE, ROBERT MARTIN | BOARD MEMBER / CO-CEO | 4445610 |
| HART, JASON EDWARD HEATH | FINOP | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL FINANCIAL OFFICER | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL OPERATIONS OFFICER | 4173982 |
| LONG, GEORGE PHILLIP MR. | CHIEF LEGAL OFFICER AND SECRETARY OF THE BOARD | 5094038 |
| NEUNER, JOHN IV | BOARD MEMBER / CO-CEO | 4578584 |
| POGGI, PAUL THOMAS | CHIEF OPERATING OFFICER AND BOARD MEMBER | 5277661 |
| THOMAS, MICHAEL DUANE | BOARD MEMBER | 2992653 |
| VALENTINE, EDWARD WEST | CHAIRMAN OF THE BOARD OF MANAGERS | 2399981 |
| VAN DER WAAG, ASHLEY HOGUE | CHIEF COMPLIANCE OFFICER | 3079633 |
| WILLIAMS, JULIE ANN | BOARD MEMBER | 6040587 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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