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Brian Patrick Connors

CFP®
CRD# 6607045·Registered 2016 - 2020
Previously Registered: Being a previously registered professional could mean that Brian 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.

Professional Summary

Brian Patrick Connors, CFP® was a registered financial advisor. Brian was a previously registered financial professional and started their career in finance 2016 - 2020. Brian had worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

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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Credentials

CFP®
Certified Financial Planner

Years of Experience

10 years in the financial services industry

Current & Past Employments

VESTOR CAPITAL SECURITIES, LLC·CRD# 15809
BD
Chicago, IL
October 18, 2018 - May 29, 2020
VESTOR CAPITAL, LLC·CRD# 165855
RIA
Chicago, IL
October 17, 2018 - December 31, 2021
J.P. MORGAN SECURITIES LLC·CRD# 79
RIA
Chicago, IL
July 19, 2016 - April 27, 2017
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
Chicago, IL
March 22, 2016 - April 27, 2017

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Current Firm

VC
VESTOR CAPITAL SECURITIES, LLC

VESTOR CAPITAL CORPORATION | VESTOR SECURITIES CORPORATION | VESTOR CAPITAL SECURITIES, LLC | VESTOR CAPITAL SECURITIES CORPORATION

CRD#: 15809 / SEC#: 8-32743
BD
Terminated by SEC on 06/30/2020

Contact Information

Established

Delaware since 06/10/2010

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
VESTOR CAPITAL, LLCPARENT COMPANY165855
BUEHLER, MARTINPRESIDENT & CHIEF COMPLIANCE OFFICER858556
SLOTT, DENNIS JAMESEXECUTIVE VICE PRESIDENT1302712

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jul 2016About the Series 66 exam

Series 7TO — General Securities Representative Examination

Passed Dec 2022About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Apr 2017About the SIE exam

Series 7 — General Securities Representative Examination

Passed Mar 2016About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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