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Adam Joseph Connolly
ADAM J CONNOLLY
CRD#: 5587531
IA
B
MORGAN STANLEYCRD#: 149777 201 South Court Street
4th Floor
Florence, AL 35630
4th Floor
Florence, AL 35630
0
Disclosures
16
Years of Experience
View By:
State Registrations
B
Alabama 9/18/2020
B
Missouri 10/3/2024
IA
Alabama 9/18/2020
B
New Jersey 11/6/2023
B
Arizona 9/18/2020
B
New Mexico 11/14/2022
B
California 5/8/2024
B
New York 9/18/2020
B
Colorado 9/18/2020
B
North Carolina 9/18/2020
B
Connecticut 12/5/2024
B
Oklahoma 9/18/2020
B
Florida 9/18/2020
B
South Carolina 9/18/2020
B
Georgia 9/18/2020
B
Tennessee 9/18/2020
B
Illinois 9/18/2020
B
Texas 9/18/2020
B
Kentucky 9/18/2020
IA
Texas 9/18/2020
B
Mississippi 9/18/2020
B
Virginia 9/18/2020
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 9/18/2020
B
Registered with this firm since 9/18/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/05/2008 - 09/22/2020 | FLORENCE, AL | |
B | 11/10/2008 - 09/22/2020 | FLORENCE, AL |
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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.