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Violation Tracker Individual Record

Company: Connolly Financial Advisors, LLC
Penalty: $11,000
Year: 2023
Date: April 25, 2023
Offense Group: financial offenses
Primary Offense: investor protection violation
Level of Government: state
Action Type: agency action
Agency: Vermont Department of Financial Regulation
Civil or Criminal Case: civil
Facility State: Vermont
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.