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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-09-06
  • FL RA
    APPROVED
    Since 2022-09-06

Branch Locations

525 Okeechobee Blvd Suite 1500, West Palm Beach, FL 33401 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Palm Beach FL 01/2011 11/2017
Jpmorgan Chase Bank, N.A. Palm Beach Gardens FL 11/2017 08/2022
Jpmorgan Securities, Llc. Palm Beach Gardens FL 11/2017 08/2022
Ubs Financial Services Inc. West Palm Beach FL 09/2022 Present
  • 01/2011 → 11/2017
    Palm Beach, FL
  • 11/2017 → 08/2022
    Jpmorgan Chase Bank, N.A.
    Palm Beach Gardens, FL
  • 11/2017 → 08/2022
    Jpmorgan Securities, Llc.
    Palm Beach Gardens, FL
  • 09/2022 → Present
    West Palm Beach, FL
Previous Registrations
  • 2017-11-30 → 2022-10-01
    Palm Beach Gardens, FL
  • 2011-01-11 → 2017-12-11
    West Palm Beach, FL
    Palm Beach, FL
    Weehawken, NJ
  • 2009-06-01 → 2010-02-19
    New York, NY
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    New York, NY
    Atlanta, GA
  • 2006-12-13 → 2007-04-02
    Morgan Stanley Dw Inc.
    Atlanta, GA
  • 2006-05-02 → 2006-09-12
    Morgan Stanley & Co. Llc
    Atlanta, GA
    Atlanta, GA
Other Businesses

NAME OF OTHER BUSINESS: Dare 2 Care / INVESTMENT RELATED?: Yes / ADDRESS: 6231 PGA Blvd Suite 104-221, Palm Beach Gardens, FL / NATURE OF THE BUSINESS: Provide laundry and shower services for homeless in Palm Beach County - Non-Profit / POSITION: Board of Directors / DUTIES: Assist in budgeting, fundraising and advising / START DATE: 9-21-2022 / HOURS DEVOTED TO BUSINESS: NA

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-04-13
S63 Uniform Securities Agent State Law Examination 1999-10-15
  • S65 Uniform Investment Adviser Law Examination
    2006-04-13
  • S63 Uniform Securities Agent State Law Examination
    1999-10-15
Other Names
  • F Patrick Connolly
  • Francis Connolly
  • Patrick Connolly
  • Francis Patrick Connolly
  • Francis Patrick Connolly

View on SEC IAPD

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