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RIA / WealthAdvisorPersonal Financial Specialistdual registered (broker-dealer)23 years in industry

JOHN EDWARD CONNOLLY

Advisor at LPL FINANCIAL LLC

YARMOUTH, ME

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 10, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Designations: Personal Financial Specialist
Exams: S63
First exam: Nov 23, 2005
First registration: Oct 10, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 4241146

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 15, 2008	n/a	yes	YARMOUTH, ME	Current employment
UNITED SECURITIES ALLIANCE, INC.	n/a	Apr 27, 2007	Dec 31, 2008	no	GREENWOOD VILLAGE, CO	Previous registration
UNITED SECURITIES ALLIANCE, INC.	n/a	Apr 27, 2007	Dec 31, 2007	no	ENGLEWOOD, CO	Previous registration
OSAIC WEALTH, INC.	Bd affiliated wealth	Mar 1, 2007	Sep 15, 2008	no	WEST FARMINGTON, ME\|GORHAM, ME	Previous registration
UNITED SECURITIES ALLIANCE, INC.	n/a	Oct 10, 2006	Mar 1, 2007	no	GORHAM, ME\|SCARBOROUGH, ME\|SCARBOROUGH, ME\|WEST FARMINGTON, ME	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UNITED SECURITIES ALLIANCE, INC.	LPL FINANCIAL LLC	Dec 31, 2008	Sep 15, 2008	-107	Firm change after gap	Other
OSAIC WEALTH, INC.	UNITED SECURITIES ALLIANCE, INC.	Sep 15, 2008	Apr 27, 2007	-507	Firm change after gap	Other
UNITED SECURITIES ALLIANCE, INC.	OSAIC WEALTH, INC.	Mar 1, 2007	Mar 1, 2007	0	Firm change	Other

Relationships

Registered with (3)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Sep 15, 2008 to presentfactForm ADV
→ UNITED SECURITIES ALLIANCE, INC.Registered adviserregistration: previous registration
Apr 27, 2007 to Dec 31, 2008factForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Mar 1, 2007 to Sep 15, 2008factForm ADV

Dated events

No dated event names this entity yet.