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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

STEPHEN WILLIAM CONNOLLY

Advisor at THE RETIREMENT PLANNING CENTER

BOVEY, MN

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Search this name across graphsid dfx:ria:9af727dd-9a67-ede7-d501-397f7e457170

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 1, 1999 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: THE RETIREMENT PLANNING CENTER
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 1, 1983earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Oct 1, 1983
First registration: Jan 1, 1999
Dual registered: yes, broker-dealer
Other names: STEPHEN WILLIAM CONNOLLY
IAPD individual key: 1171269

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
THE RETIREMENT PLANNING CENTER	State registered	Jun 18, 2018	n/a	yes	BOVEY, MN	Current employment
CROWN CAPITAL SECURITIES, L.P.	Former SEC adviser	Oct 9, 2017	Jul 26, 2022	no	BOVEY, MN\|BOVEY, MN\|ORANGE, CA	Previous registration
SUMMIT FINANCIAL GROUP INC	Former SEC adviser	Sep 9, 2016	Oct 16, 2017	no	Marshalltown, IA\|BOVEY, MN	Previous registration
VSR ADVISORY SERVICES	Former SEC adviser	Feb 7, 2003	Sep 1, 2016	no	MARSHALLTOWN, IA\|OVERLAND PARK, KS\|DRIPPING SPRINGS, TX\|DES MOINES, IA\|OVERLAND PARK, KS\|BOVEY, MN	Previous registration
THE MASTERS, INC.	n/a	Jan 1, 1999	Feb 7, 2003	no	DES MOINES, IA	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
CROWN CAPITAL SECURITIES, L.P.	THE RETIREMENT PLANNING CENTER	Jul 26, 2022	Jun 18, 2018	-1,499	Firm change after gap	Ibd to state RIA
SUMMIT FINANCIAL GROUP INC	CROWN CAPITAL SECURITIES, L.P.	Oct 16, 2017	Oct 9, 2017	-7	Firm change	Other
VSR ADVISORY SERVICES	SUMMIT FINANCIAL GROUP INC	Sep 1, 2016	Sep 9, 2016	8	Bulk transfer	Other
THE MASTERS, INC.	VSR ADVISORY SERVICES	Feb 7, 2003	Feb 7, 2003	0	Bulk transfer	Other

Relationships

Registered with (5)

→ THE RETIREMENT PLANNING CENTERRegistered adviserregistration: current employment
Jun 18, 2018 to presentfactForm ADV
→ CROWN CAPITAL SECURITIES, L.P.Registered adviserregistration: previous registration
Oct 9, 2017 to Jul 26, 2022factForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserregistration: previous registration
Sep 9, 2016 to Oct 16, 2017factForm ADV
→ VSR ADVISORY SERVICESRegistered adviserregistration: previous registration
Feb 7, 2003 to Sep 1, 2016factForm ADV
→ THE MASTERS, INC.Registered adviserregistration: previous registration
Jan 1, 1999 to Feb 7, 2003factForm ADV

Dated events

Occurred
Jul 26, 2022
Advisor changed firm
Stephen William Connolly left Crown Capital Securities, L.P. for The Retirement Planning Center (registered 2018-06-18)
Form ADVobserved 5 days ago