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John Edward Connolly

LPl Financial LLC

Yarmouth, ME

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-04-19
TX RA APPROVED_RES 2013-08-29
ME RA APPROVED 2008-09-15
  • FL RA
    APPROVED
    Since 2022-04-19
  • TX RA
    APPROVED_RES
    Since 2013-08-29
  • ME RA
    APPROVED
    Since 2008-09-15

Branch Locations

50 Forest Falls Drive Suite 1, Yarmouth, ME 04096 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
John Conolly, Cpa Westbrook ME 09/2003 Present
Lpl Financial Llc Yarmouth ME 09/2008 Present
  • 09/2003 → Present
    John Conolly, Cpa
    Westbrook, ME
  • 09/2008 → Present
    Yarmouth, ME
Previous Registrations
  • 2007-04-27 → 2008-12-31
    United Securities Alliance, Inc.
    Greenwood Village, CO
  • 2007-03-01 → 2008-09-15
    West Farmington, ME
    Gorham, ME
  • 2007-04-27 → 2007-12-31
    United Securities Alliance, Inc.
    Englewood, CO
  • 2006-10-10 → 2007-03-01
    United Securities Alliance, Inc.
    Gorham, ME
    Scarborough, ME
    Scarborough, ME
    West Farmington, ME
Other Businesses

(1) 09/15/2008 - NON-VARIABLE INSURANCE - FIXED ANNUITIES, FIXED LIFE PRODUCTS & DISABILITY; SHIELDS BROKERAGE IN NH & GA - 5% OF TIME SPENT - YARMOUTH, ME (2) 11/20/2012 - REAL ESTATE RENTAL - BECKON ME, INC. - MY WIFE AND I HAVE FORMED BECKON ME, INC A MAINE S CORP. BMI CLOSED ON A COMMERCIAL BUILDING AT 50 FOREST FALLS DRIVE, YARMOUTH, ME ON 11/16/2012. CFS WILL RENT SUITE 1, MY WIFES BUSINESS, BROWN CHIROPRACTIC, WILL RENT SUITE 4, WITH 2 OTHER TENANTS. - 1% OF TIME SPENT - YARMOUTH, ME (3) 11/06/2014 - OTHER - NOTARY PUBLIC - NOTARY - TIME SPENT 1 HOUR PER MONTH - YARMOUTH, ME (4) 12/29/2015 * Forest Falls Suites, LLC. * Real Estate Rental * NOT INV REL * 40 Forest Falls Drive, Yarmouth, Maine 04096 * START 12/31/2016 * 42 HRS/MO; 9 HRS/MO DURING SECS TRDG HRS. (5) 12/29/2015 * Connolly Financial Services, LLC * DBA for LPL Business (entity for LPL business) * Connolly Financial Services * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 01/01/2016 * 167 HRS/MO; 137 HRS/MO DURING SECS TRDG HRS. (6) 12/18/2019 - Connolly Fulton Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/02/2020 - 160 Hours Per Month During Securities Trading.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2005-11-23
  • S63 Uniform Securities Agent State Law Examination
    2005-11-23
Designations

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