Patrick Joseph Connolly
Professional Summary
Patrick Joseph Connolly was a registered financial advisor. Patrick was a previously registered financial professional and started their career in finance 1973 - 2012. Patrick had worked at 11 firms and has passed the Series 55, Series 7, Series 1 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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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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Years of Experience
53 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST NEW YORK SECURITIES L.L.C.
Contact Information
Established
New York since 07/01/1995Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FNY PARTNERS FUND LP | OWNER | — |
| BROKAW, LLOYD BRUCE | MANAGING MEMBER | 31368 |
| DICKERSON, ELIZABETH ANNE | CHIEF COMPLIANCE OFFICER | 1917497 |
| MIRON, RUSSEL LEEDS | CHIEF OPERATING OFFICER | 1509249 |
| MOTSCHWILLER, DONALD ERIC | CHIEF EXECUTIVE OFFICER | 1454120 |
| NOORANI, FARAZ AMIR | MANAGING MEMBER | 4983674 |
| SABATINI, DONNA ANN | CHIEF FINANCIAL OFFICER | 2352318 |
Disclosures
Regulatory Event
18Bond
1Similar Advisors
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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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Dec 1998Series 1 — Registered Representative Examination
Passed Apr 1973Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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