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ALAIN MAURICE CONNELLY
Alain Maurice Connelly
CRD#: 1956935
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 4655 Executive Dr Ste 300
San Diego, CA 92121-3123
Registration History
19952000200520102015202020252 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - 2018 (5 years)2 FIRMS2018 - Present (7 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1996 - 2008 (12 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1996 (3 years)BLEHMAN BROTHERS INC. (CRD# 7506)1991 - 1993 (2 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1997 - 2008 (11 years)
Disclosure(s)
View By:
3/1/1994
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 2/28/2018

B
Nevada 2/28/2018

B
Arkansas 5/1/2023

B
North Carolina 10/6/2023

B
California 2/28/2018

B
Tennessee 12/7/2020

IA
California 2/28/2018

B
Texas 2/28/2018

B
Florida 2/28/2018

IA
Texas 2/28/2018

B
Maryland 2/28/2018

B
Utah 2/28/2018

B
Montana 2/28/2018

B
Washington 2/28/2018

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
4655 Executive Dr Ste 300, San Diego, CA 92121-3123
San Diego, CA
Registered with this firm since 2/28/2018

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
4655 Executive Dr Ste 300, San Diego, CA 92121-3123
San Diego, CA
Registered with this firm since 2/28/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/06/2012 - 03/01/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN DIEGO, CA
B
07/06/2012 - 03/01/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN DIEGO, CA
IA
06/01/2009 - 07/11/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) SAN DIEGO, CA
B
06/01/2009 - 07/11/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) SAN DIEGO, CA
IA
08/29/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SAN DIEGO, CA
B
08/29/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SAN DIEGO, CA
IA
07/08/1997 - 09/19/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN DIEGO, CA
B
09/19/1996 - 09/19/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN DIEGO, CA
B
07/31/1993 - 09/17/1996 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
01/29/1991 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
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.