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Shawn Patrick Connolly

LPl Financial LLC

Buffalo, NY

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-03
TX RA APPROVED 2018-02-14
  • NY RA
    APPROVED
    Since 2021-08-03
  • TX RA
    APPROVED
    Since 2018-02-14

Branch Locations

360 Delaware Ave Ste 400, Buffalo, NY 14202 • 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
Sii Investments, Inc. Buffalo NY 04/2011 02/2018
Lpl Financial Llc Buffalo NY 02/2018 Present
  • 04/2011 → 02/2018
    Sii Investments, Inc.
    Buffalo, NY
  • 02/2018 → Present
    Buffalo, NY
Previous Registrations
  • 2011-04-29 → 2018-02-15
    Sii Investments, Inc.
    Buffalo, NY
    Appleton, WI
  • 2008-10-14 → 2011-05-09
    Williamsville, NY
    Williamsville, NY
Other Businesses

1. 8/1/2018 - Jensen, Marks, Langer & Vance LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/02/2011 - 4 Hours Per Month During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-06-01
  • S66 Uniform Combined State Law Examination
    2000-06-01
Designations

View on SEC IAPD

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