Robert A. Connell

APEX FINANCIAL ADVISORS,

Yardley, PA 19067

Some features on this profile are disabled

CRD#: 804920

Professional summary

Robert Alan Connell is a registered financial advisor currently at APEX FINANCIAL ADVISORS, INC located in Yardley, Pennsylvania.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1975. Robert has 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

Are you a "fiduciary"?

Yes

Aliases

None

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 Robert Alan Connell'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

October 13, 2010 - Present

APEX FINANCIAL ADVISORS, INC

Office #1: 85 South Main Street, Yardley, PA 19067

RIA

CRD#: 155210

Yardley, PA

Past

June 26, 2009 - August 18, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

YARDLEY, PA

Past

June 26, 2009 - August 18, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

YARDLEY, PA

Past

June 1, 2009 - July 1, 2009

MORGAN STANLEY

RIA

CRD#: 149777

NEWTOWN, PA

Past

June 1, 2009 - July 1, 2009

MORGAN STANLEY

CRD#: 149777

NEWTOWN, PA

Past

January 6, 2000 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEWTOWN, PA

Past

July 31, 1993 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEWTOWN, PA

Past

May 12, 1980 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 16, 1977 - June 9, 1980

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

August 27, 1976 - September 16, 1977

BACHE HALSEY STUART INC.

CRD#: 7238

Past

February 27, 1976 - August 27, 1976

BACHE & CO INCORPORATED

CRD#: 7058

Past

February 24, 1975 - February 27, 1976

BACHE & CO., INCORPORATED

CRD#: 66

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".

APEX FINANCIAL ADVISORS, INC

CRD#: 155210 / SEC#: 801-71884

RIA

Registered Investment Advisory firm - (10/7/2010 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

Florida
(8/29/2012)

IAR

New Jersey
(7/25/2012)

IAR

Pennsylvania
(10/13/2010)

IAR

Texas
(7/19/2012)

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: 5/11/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/30/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 10/17/1981

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 6/13/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 2/15/1975

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 7/2/1991

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 1/13/1981

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/9/1980

General Securities Principal Examination

Principal/Supervisory Exam

Series 12

Date: 8/11/1980

NYSE Branch Manager Examination

Current Firm

APEX FINANCIAL ADVISORS, INC

CRD#: 155210 / SEC#: 801-71884

RIA

Registered Investment Advisory firm - (10/7/2010 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

85 South Main Street, Yardley, PA 19067

Mailing Address

Phone number

(215) 493-1900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A 03.2025 - ANNUAL AMENDMENT (3/27/2025)

Regulatory assets under management

Total Number of Accounts	410
AUM (Assets Under Management)	$ 505,099,472

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.

Similar Advisors

Boris Niko

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Feasterville, PA

David Ducharme

DUCHARME WEALTH ADVISORS, LLC

IAR

Jenkintown, PA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert A. Connell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Alan Connell's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

PRUDENTIAL EQUITY GROUP, LLC

BACHE HALSEY STUART INC.

BACHE & CO INCORPORATED

BACHE & CO., INCORPORATED

Primary Firm SEC Registration

APEX FINANCIAL ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/11/1992

Series 63

Date: 12/30/1982

Series 5

Date: 10/17/1981

PC

Date: 6/13/1977

Series 7

Date: 2/15/1975

Series 53

Date: 7/2/1991

Series 4

Date: 1/13/1981

Series 24

Date: 12/9/1980

Series 12

Date: 8/11/1980

Current Firm

APEX FINANCIAL ADVISORS, INC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

APEX FINANCIAL ADVISORS, INC

TRUST BUT VERIFY

Similar Advisors