Securities Background and Disclosure

Connor Houlihan was formerly registered in the securities industry. His public record on FINRA BrokerCheck, CRD 5881228, shows registrations with five broker-dealers between 2011 and 2024, four qualification exams, and no disclosures. This page explains what that record contains and how to read it yourself. Readers should rely on the official record for current status and disclosures.

The public record

Connor Houlihan on FINRA BrokerCheck (CRD #5881228). BrokerCheck is the free tool run by the Financial Industry Regulatory Authority that lets anyone look up the registration history, qualification exams, and disclosure events of current and former brokers. A former broker’s record stays available for ten years after the person leaves the industry, so the record linked above will remain public well into the 2030s.

What the record shows

• Registrations. Fidelity Brokerage Services LLC (2011 to 2015), DWS Distributors, Inc. (2015 to 2020), Sentinus-Halo Securities, LLC (2020), Foreside Fund Services, LLC (2020 to 2024), and Alto Securities, LLC (2024). The Experience page describes each firm.
• Exams. The Series 7 (General Securities Representative) and Series 63 (Uniform Securities Agent State Law) in 2011, the Series 65 (Uniform Investment Adviser Law) in 2014, and the Securities Industry Essentials (SIE) exam, credited in 2018 when FINRA introduced it. The Series 7 covers the sale of most securities, the Series 63 covers state law for agents, and the Series 65 tests investment-adviser law and knowledge. Passing an exam alone does not authorize anyone to act as a representative or adviser; that takes registration with a firm and the relevant regulator.
• Disclosures. None. The disclosure section of a BrokerCheck record is where customer complaints, arbitrations, regulatory actions, employment terminations, and similar events reported by firms and regulators appear. Connor’s record has no entries.
• Current status. Not registered. His last registration ended in April 2024. A person who is not registered cannot act as a broker or sell securities, and nothing on this site should be read as an offer to do either.

How to read any BrokerCheck record

1. Search by name or, better, by CRD number, since many people share a name. The CRD number is unique.
2. Compare the registration dates with the person’s resume or LinkedIn profile. Registration dates and employment dates usually line up but are not always identical.
3. Read the exam list. It tells you what the person was qualified to do, not what they actually did day to day.
4. Open the disclosure section, even when the summary says there are none. If there are entries, read the full text, including the person’s own statement.
5. For investment advisers and their representatives, run the same check on the SEC’s Investment Adviser Public Disclosure site, and read the firm’s Form ADV. How to Read Form ADV Without Getting Lost shows where to look, and Due Diligence in Plain English puts the record in the context of a full review.

Important disclosure

This website is educational and editorial. It does not provide individualized investment advice, brokerage services, portfolio management, or a recommendation to buy or sell any security. Connor Houlihan is not currently registered with any broker-dealer or investment adviser, and this site is not offered on behalf of any firm. Do not send confidential financial information through this site; the Contact page explains what to send and what not to.