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MICHAEL ROBERT CONNELL
CRD#: 1260952
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 545 METRO PLACE SOUTH
SUITE 220
DUBLIN, OH 43017
SUITE 220
DUBLIN, OH 43017
CETERA INVESTMENT SERVICES LLCCRD#: 15340 545 METRO PLACE SOUTH
SUITE 220
DUBLIN, OH 43017
SUITE 220
DUBLIN, OH 43017
0
Disclosures
41
Years of Experience
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State Registrations
B
Arizona 6/21/2019
IA
Ohio 6/20/2019
B
California 6/21/2019
B
Ohio 6/21/2019
B
Colorado 6/21/2019
B
Pennsylvania 6/21/2019
B
Florida 6/21/2019
B
South Carolina 6/21/2019
B
Georgia 6/21/2019
B
Tennessee 1/4/2022
B
Indiana 6/21/2019
B
Texas 6/21/2019
B
Kentucky 6/21/2019
IA
Texas 12/19/2019
B
Michigan 6/21/2019
B
Virginia 7/16/2020
B
Missouri 6/21/2019
B
West Virginia 6/21/2019
B
New Mexico 2/10/2023
SRO Registrations
B
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B
Registered with this firm since 6/20/2019
IA
Registered with this firm since 6/20/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/29/2012 - 06/24/2019 | UPPER ARLINGTON, OH | |
B | 04/16/1984 - 06/24/2019 | DUBLIN, OH |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.