Patrick Joseph Connors

Current Employers

Yorktown Management And Research Co Inc

106 Annjo Court Suite A, Forest, VA 24551-2630 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-09-06

TX RA
APPROVED_RES

Since 2023-09-06

Branch Locations

Seattle, WA • United States

106 Annjo Court Suite A, Forest, VA 24551-2630 • 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

Organization	City	State	From	To
Yorktown Management And Research Co., Inc.	Lynchburg	VA	10/2014	Present
Foreside Fund Services, Llc	Seattle	WA	01/2017	Present

10/2014 → Present

Yorktown Management And Research Co., Inc.

Lynchburg, VA
01/2017 → Present

Foreside Fund Services, Llc

Seattle, WA

Previous Registrations

2016-05-23 → 2020-12-31

Yorktown Management And Research Co Inc

Seattle, WA

Forest, VA
2011-10-03 → 2014-10-09

Columbia Management Investment Advisers, Llc

Seattle, WA

Boston, MA
2008-03-20 → 2011-10-06

Touchstone Advisors Inc

Cincinnati, OH
2005-08-01 → 2006-03-03

Tiaa-Cref Individual & Institutional Services, Llc

Kirkland, WA

Kirkland, WA

Other Businesses

Yorktown Management & Research Co., Inc.; Investment Related; Seattle, WA; Investment; Regional Director/Principal - Pacific Region; Start Date 11/1/20214; 200 Hrs Per Month; Sales of API Mutual Funds to Pacific Region.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-07-29
S63	Uniform Securities Agent State Law Examination	1998-05-08

S66 Uniform Combined State Law Examination

2005-07-29
S63 Uniform Securities Agent State Law Examination

1998-05-08

View on SEC IAPD