Steven A Connolly

Current Employers

Employment History

• 11/2007 → 06/2021
  Ubs Financial Services Inc
  Chicago, IL
• 06/2021 → Present
  Lpl Financial, Llc
  Schaumburg, IL
• 05/2021 → Present
  Gladstone Wealth Partners
  Schaumburg, IL

Previous Registrations

• 2007-11-16 → 2021-06-22
  Ubs Financial Services Inc.
  Barrington, IL
  Chicago, IL
• 2007-04-02 → 2007-11-21
  Morgan Stanley & Co. Llc
  Barrington, IL
• 2002-06-17 → 2007-04-02
  Morgan Stanley Dw Inc.
  Barrington, IL
  Barrington, IL

Other Businesses

1) 5/2021 - DBA for LPL Business (entity for LPL business) - PUZZLE WEALTH SOLUTIONS - Investment Related - 100% - Schaumburg, IL 60173 2) 5/2021 - Non-Variable Insurance - BOOK OF BROKERS - Investment Related - 1% - Schaumburg, IL 60173 3) 5/2021 - Business Entity For Tax/Investment Purposes Only - PUZZLE WEALTH PARTNERS - Investment Related - 100% - Schaumburg, IL 60173 4) 6/15/2021 - GLADSTONE INSTITUTIONAL ADVISORY, LLC - DBA: (Hybrid) Gladstone Wealth Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 5.25.2021 - 160 Hours Per Month - Time Spent 100%. 5) 6/15/2021 - GLADSTONE INSTITUTIONAL ADVISORY - DBA: (Hybrid) PUZZLE WEALTH SOLUTIONS - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 5.25.2021 - 160 Hours Per Month - Time Spent 100% - I provide investment advisory services through GLADSTONE INSTITUTIONAL ADVISORY, an independent investment advisor firm. I started this business activity in 01/2021. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6) 01/04/2023 - Connolly Financial LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 11/08/2022 - 5 Hours Per Month/2 Hours During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2001-12-10

Other Names

• Steven Anthony Connolly