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HAROLD ERIC CONNOLLY
HAL CONNOLLY, HAROLD E CONNOLLY
CRD#: 1654019
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 69 STATE ST
ALBANY, NY 12207
ALBANY, NY 12207
0
Disclosures
37
Years of Experience
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State Registrations
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Arizona 11/17/2014
B
New Hampshire 8/3/2011
B
California 4/11/1991
B
New Jersey 5/25/1989
B
Colorado 12/6/2019
B
New Mexico 6/27/2022
B
Connecticut 5/25/1989
B
New York 5/25/1989
B
Delaware 3/31/2004
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New York 4/19/2021
B
District of Columbia 6/26/1998
B
North Carolina 1/8/2008
B
Florida 5/25/1989
B
Ohio 1/26/2005
B
Georgia 1/30/2004
B
Oklahoma 10/18/2023
B
Hawaii 6/8/2022
B
Oregon 11/30/2021
B
Illinois 4/10/2003
B
Pennsylvania 7/12/1993
B
Indiana 3/9/2021
B
Rhode Island 8/30/2021
B
Iowa 1/25/2000
B
South Carolina 11/7/2013
B
Kentucky 5/24/2023
B
Tennessee 11/17/2014
B
Maine 5/28/2021
B
Texas 12/19/2005
B
Maryland 3/9/2000
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Texas 1/5/2006
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Massachusetts 5/25/1989
B
Utah 6/8/2022
B
Michigan 11/17/2014
B
Vermont 9/7/2006
B
Minnesota 1/31/2013
B
Virginia 5/25/1989
B
Missouri 12/11/2014
B
Washington 12/19/2005
B
Nevada 6/8/2022
SRO Registrations
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B
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Registered with this firm since 1/5/2006
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Registered with this firm since 5/25/1989
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/27/1987 - 06/02/1989 | WEEHAWKEN, NJ |
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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.
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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.