DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Janet Lisa Connolly

LPL Financial LLCBD affiliatedFerndale, Wa dual registrantIAPD 3222658

Feed of 09/15/2026

Also filed as Janet Lisa Connolly

At current firm

4 y

since Aug 17, 2022

In the industry

27 y

since May 24, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Aug 17, 2022 · Parsonsfield, Me
People'S United Advisors, Inc. former
Jul 28, 2020 to Aug 17, 2022 · Wilmington, De
Allstate Financial Advisors, LLC BD affiliated
May 2, 2019 to Apr 13, 2020 · Rocky Hill, Ct
Farmers Financial Solutions, LLC former
Aug 30, 2017 to Nov 21, 2018 · Rochester, Ny
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
May 18, 2011 to Nov 24, 2015 · Commack, Ny
Chase Investment Services Corp. former
Jul 20, 2010 to Apr 20, 2011 · New York, Ny
Morgan Stanley wirehouse
Jun 1, 2009 to Jul 16, 2010 · Sarasota, Fl
Citigroup Global Markets Inc. BD affiliated
Aug 24, 2007 to Jun 1, 2009 · Sarasota, Fl

Moves

a registration end followed by a registration begin elsewhere

People'S United Advisors, Inc. to LPL Financial LLC
left Aug 17, 2022, registered Aug 17, 2022 (0 days) · corporate re-registration, not a move
Allstate Financial Advisors, LLC to People'S United Advisors, Inc.
left Apr 13, 2020, registered Jul 28, 2020 (106 days) · Affiliated broker-dealer or bank to independent RIA
Farmers Financial Solutions, LLC to Allstate Financial Advisors, LLC
left Nov 21, 2018, registered May 2, 2019 (162 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Farmers Financial Solutions, LLC
left Nov 24, 2015, registered Aug 30, 2017 (645 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
Chase Investment Services Corp. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Apr 20, 2011, registered May 18, 2011 (28 days) · Other
Morgan Stanley to Chase Investment Services Corp.
left Jul 16, 2010, registered Jul 20, 2010 (4 days) · Other
Citigroup Global Markets Inc. to Morgan Stanley
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

Janet Lisa Connolly added a NH registration at Lpl Financial Llc
Sep 14, 2026 · New state registration · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address