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Robert Leo Connelly

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Wellesley Hills, MA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2009-10-26
  • CT RA
    APPROVED
    Since 2009-10-26

Branch Locations

45 William St, Wellesley Hills, MA 02481 • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Newton MA 10/2009 Present
Bank Of America, N.A. Newton MA 05/2017 Present
Previous Registrations
  • 2004-10-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Boston, MA
    Boston, MA
  • 2002-09-12 → 2004-10-20
    Quick & Reilly, Inc.
    Boston, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-05-10
S63 Uniform Securities Agent State Law Examination 1995-05-17
  • S65 Uniform Investment Adviser Law Examination
    2002-05-10
  • S63 Uniform Securities Agent State Law Examination
    1995-05-17
Other Names
  • Robert Leo Connolley

View on SEC IAPD

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