Patrick 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.
Patrick Joseph Connolly was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1973. Patrick had worked at 11 firms and has passed the Series 55, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2000 - May 21, 2012
FIRST NEW YORK SECURITIES L.L.C.
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
July 14, 1992 - March 10, 2000
CITIGROUP GLOBAL MARKETS INC.
July 20, 1990 - April 15, 1992
KIDDER, PEABODY & CO. INCORPORATED
January 1, 1990 - June 27, 1990
AMERICAN SECURITIES BD CO., L.P.
October 3, 1988 - February 4, 1989
DOMINICK & DICKERMAN LLC
January 19, 1988 - October 3, 1988
DOMIK CORP.
August 24, 1987 - February 4, 1988
CITICORP SCRIMGEOUR VICKERS INTERNATIONAL, INC.
March 29, 1983 - May 13, 1987
E. F. HUTTON & COMPANY INC
May 21, 1981 - March 15, 1983
CITIGROUP GLOBAL MARKETS INC.
May 19, 1978 - June 30, 1981
KIDDER, PEABODY & CO. INCORPORATED
October 3, 1977 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
May 1, 1973 - November 15, 1976
DEUTSCHE BANK CAPITAL CORPORATION
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 55
Date: 12/2/1998
Limited Representative-Equity Trader ExamSeries 1
Date: 4/23/1973
Registered Representative ExaminationCurrent Firm
FIRST NEW YORK SECURITIES L.L.C.
CRD#: 16362 / SEC#: , 8-33753
Contact information
Documents
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 | 18 |
| Bond | 1 |
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.
