Frequently Asked Questions

Background and experience

Who is Connor Houlihan?

Connor Houlihan is a Connecticut-based finance professional who worked in securities and fund distribution from 2011 to 2024. His career ran from Chicago to Connecticut across about five firms, and most of it involved distributing funds to financial advisors and institutions. He now writes here about how financial products reach investors, how to use the public record, and what careful measurement can teach about performance, on the golf course and off it. The About page tells the fuller story.

What is Connor Houlihan’s background?

Connor’s public FINRA record lists registrations at five broker-dealers between 2011 and 2024, including Fidelity Brokerage Services and Foreside Fund Services. Much of that time was spent on the distribution side of the asset-management business, working with the advisors and institutions that choose funds for their clients. The Experience page walks through each stage.

Where is he based?

Connor is based in the Hartford, Connecticut area. Connecticut is the home base for the site’s local perspective, and its finance sector, from Hartford’s insurers to the investment firms of Stamford and Greenwich, gives him plenty to write about. See the Connecticut section for more.

Which firms did he work for?

According to the public FINRA record, Connor was registered with Fidelity Brokerage Services LLC from March 2011 to January 2015, DWS Distributors, Inc. from May 2015 to March 2020, Sentinus-Halo Securities from June to August 2020, Foreside Fund Services, LLC from October 2020 to February 2024, and Alto Securities, LLC from March to April 2024. DWS is the asset-management group of Deutsche Bank, and Foreside is a third-party fund distributor and principal underwriter. The Securities Background page describes each role.

What licenses did he hold?

Connor passed the Series 7 and Series 63 exams in 2011, the Series 65 in 2014, and the Securities Industry Essentials (SIE) exam in 2018. The Series 7 qualifies a representative to sell most types of securities, the Series 63 covers state securities 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.

Is he currently registered?

No. Connor was a registered representative from 2011 to 2024 and, according to FINRA BrokerCheck, is not currently registered with any broker-dealer. This website is a personal publication and is not offered on behalf of any firm.

Is Connor a financial advisor?

Not in the usual sense. Most of Connor’s career was on the distribution side, working with advisors and institutions rather than managing money for individual clients, and he does not act as an adviser to readers of this site. The Fund Distribution Explained essay describes what the role involves.

How can I verify his record?

Start with FINRA BrokerCheck, the free public database run by the Financial Industry Regulatory Authority. Connor Houlihan’s BrokerCheck record (CRD 5881228) lists his registration history, the exams he passed, and the absence of any disclosures. His LinkedIn profile covers the same career. The site’s own guide to reading Form ADV shows how to check an investment adviser’s public filings in the same spirit.

This website

What does this site cover?

Financial services, fund distribution, markets, due diligence, corporate valuation, business strategy, Connecticut, and golf analytics. The common thread is a practical interest in how systems work, whether the system is a mutual fund’s share-class structure or a golfer’s practice routine. The Essays index groups the longer pieces by subject.

Where should a new reader start?

The core essays explain how funds are sold and what they cost: Mutual Fund Share Classes and Fees and Fund Due Diligence: A Practical Guide for Advisors are good first reads. Readers interested in public records should try Due Diligence in Plain English. The more personal pieces include Why I Left Fidelity, Finance and Creativity, and Golf as Business.

Is this investment advice?

No. The site is educational and editorial, not individualized investment advice. Nothing here takes account of any reader’s financial situation, goals, or risk tolerance, and nothing is a recommendation to buy, sell, or hold any security or fund. Readers making decisions about their own money should consult a licensed professional who knows their circumstances.

How should I cite this site?

Cite the author, the essay title, the site name, the URL, and the date you accessed the page. For example: Houlihan, Connor. “Fund Distribution Explained.” connorhoulihan.com, https://connorhoulihan.com/fund-distribution-explained/, followed by your access date. Each article identifies its sources, date, and author, so the page itself usually supplies what a citation needs. Short quotations with attribution and a link are welcome.

Working with Connor and getting in touch

Can Connor Houlihan be contacted for speaking or writing?

Yes, on the right subjects. Connor can speak or write about fund distribution, share classes and fees, due diligence, Form ADV, the registered investment adviser channel, and Connecticut’s finance community. Requests should go through the Contact page, which explains the current contact method and what to include; the Press and Media page has a short bio for editors and producers. There is no guaranteed response time, so say in the first line if a request is time-sensitive.

Will he answer questions about my own investments?

No. Connor does not give individualized investment advice, and the contact page asks readers not to send confidential financial information or requests for personal recommendations. General questions about how the industry works, corrections to anything published here, and ideas for future essays are all welcome.