Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
SEAN ANTHONY CONNOLLY
SEAN CONNOLLY
CRD#: 5743288
IA
Investment Adviser
B
Previous Broker
EDELMAN FINANCIAL ENGINESCRD#: 104510 1800 DIAGONAL RD
SUITE 480
ALEXANDRIA, VA 22314
Registration History
201220142016201820202022202420262 FIRMS2011 - 2014 (3 years)2 FIRMS2014 - 2018 (4 years)2 FIRMS2018 - 2019 (<1 year)IAEDELMAN FINANCIAL ENGINES (CRD# 104510)2019 - Present (5 years)
License(s)

State Registrations

IA
Texas 4/12/2023
IA
Virginia 10/8/2019
Current Registration(s)
IA
EDELMAN FINANCIAL ENGINES (CRD#:104510)
1800 DIAGONAL RD SUITE 480, ALEXANDRIA, VA 22314
Registered with this firm since 10/8/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/19/2018 - 09/17/2019 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) ROCKVILLE, MD
B
 10/18/2018 - 09/17/2019 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) ROCKVILLE, MD
IA
 08/26/2014 - 10/04/2018 ADVICE AND PLANNING SERVICES (CRD#:20472) NORFOLK, VA
B
 08/26/2014 - 10/04/2018 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472) NORFOLK, VA
IA
 10/06/2011 - 08/20/2014 T. ROWE PRICE ADVISORY SERVICES, INC. (CRD#:108958) OWINGS MILLS, MD
B
 07/13/2011 - 08/20/2014 T. ROWE PRICE INVESTMENT SERVICES, INC. (CRD#:8348) OWINGS MILLS, MD
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.