Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Connolly is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Joseph has been in the securities industry since November 3, 2003. Joseph is licensed in Florida. Joseph has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since February 14, 2011. Previous to this, Joseph was employed with Merrill Lynch, Pierce, Fenner & Smith Inc. in New York, New York, starting January 13, 1999 and ending on March 3, 2006. Joseph has passed the Uniform Securities Agent State Law Examination (Series 63), the Uniform Combined State Law Examination (Series 66), the General Securities Representative Examination (Series 7), the Investment Banking Registered Representative Examination (Series 79), and the Securities Industry Essentials Examination (SIE).
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CT
02/14/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (STAMFORD CT)
NY
01/13/1999 - 03/03/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 02/10/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/25/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/2011
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 12/23/2010
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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