Robert A. Connell
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.
Robert Alan Connell was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1975. Robert had worked at 9 firms and has passed the Series 65, Series 63, Series 5, PC, Series 7, Series 53, Series 4, Series 24 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 13, 2010 - December 31, 2025
APEX FINANCIAL ADVISORS, INC
June 26, 2009 - August 18, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 26, 2009 - August 18, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - July 1, 2009
MORGAN STANLEY
June 1, 2009 - July 1, 2009
MORGAN STANLEY
January 6, 2000 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 12, 1980 - July 31, 1993
LEHMAN BROTHERS INC.
September 16, 1977 - June 9, 1980
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
February 24, 1975 - February 27, 1976
BACHE & CO., INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 6/13/1977
AMEX Put and Call ExamSeries 12
Date: 8/11/1980
NYSE Branch Manager ExaminationCurrent Firm
APEX FINANCIAL ADVISORS, INC
CRD#: 155210 / SEC#: 801-71884
Contact information
Regulatory assets under management
| Total Number of Accounts | 410 |
| AUM (Assets Under Management) | $ 505,099,472 |
Red Flags
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