John J. 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.
John Joseph Connolly III, who also goes by John J Connolly, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1979. John had worked at 5 firms and has passed the Series 63, Series 7, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 1986 - March 22, 1989
EQUITIES INTERNATIONAL SECURITIES, INC.
March 10, 1986 - August 27, 1986
J. T. MORAN & CO., INC.
December 21, 1984 - November 29, 1985
BROADCHILD SECURITIES CORP.
November 23, 1984 - December 19, 1984
J. T. MORAN & CO., INC.
July 16, 1982 - October 18, 1983
MOSELEY SECURITIES CORPORATION
November 20, 1981 - July 21, 1982
TUCKER ANTHONY INCORPORATED
December 19, 1979 - October 28, 1981
MOSELEY SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 12
Date: 5/16/1981
NYSE Branch Manager ExaminationCurrent Firm
EQUITIES INTERNATIONAL SECURITIES, INC.
CRD#: 8663 / SEC#: , 8-25915
Contact information
Documents
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.
