Michael P. Connelly

CALDERWOOD FINANCIAL STRATEGIES

HOUSTON, TX 77057

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CRD#: 8010651

Professional summary

Michael Patrick Connelly, who also goes by Patrick Connelly, is a registered financial advisor currently at CALDERWOOD FINANCIAL STRATEGIES, INC. located in Houston, Texas.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Michael has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Patrick Connelly

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Patrick Connelly's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 18, 2024 - Present

CALDERWOOD FINANCIAL STRATEGIES, INC.

Office #1: 510 Bering Drive Suite 540, Houston, TX 77057

RIA

CRD#: 313466

HOUSTON, TX

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".

CALDERWOOD FINANCIAL STRATEGIES, INC.

CRD#: 313466 / SEC#: 801-120801

RIA

Registered Investment Advisory firm - (4/15/2021 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.

Highlighted states indicate IAR registrations

IAR

Louisiana
(12/4/2024)

IAR

Texas
(11/18/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/12/2024

Uniform Investment Adviser Law Examination

Current Firm

CALDERWOOD FINANCIAL STRATEGIES, INC.

CRD#: 313466 / SEC#: 801-120801

RIA

Registered Investment Advisory firm - (4/15/2021 Approved)

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Contact information

Main Address

510 Bering Drive Suite 540, Houston, TX 77057

Mailing Address

Phone number

(832) 821-2462

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CALDERWOOD PART 2A (2/17/2025)

Regulatory assets under management

Total Number of Accounts	69
AUM (Assets Under Management)	$ 216,367,000

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.

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Michael P. Connelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Patrick Connelly's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALDERWOOD FINANCIAL STRATEGIES, INC.

Primary Firm SEC Registration

CALDERWOOD FINANCIAL STRATEGIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/12/2024

Current Firm

CALDERWOOD FINANCIAL STRATEGIES, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CALDERWOOD FINANCIAL STRATEGIES, INC.

TRUST BUT VERIFY

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