Neil Connolly has been an investment adviser representative at Rigden Enterprises since November 2025, and is not listed among the firm’s executive officers or direct owners.
Rigden Enterprises is an Englewood, CO firm with $169M under management, 334 clients and 6 advisers across 4 offices, as of its June 2026 filing.
Neil Connolly is a Wealth Advisor at Rigden Capital Strategies, based in Overland Park, Kansas. He brings 25+ years of experience to financial planning, tax, retirement and investment strategy. He began his career with Charles Schwab in 1999, became Branch Manager of the Denver Tech Center TD Ameritrade branch in 2017, and led the Kansas City and Wichita branches beginning in 2022.
Neil Connolly’s longest registration was 17 years at TD Ameritrade Investment Management, LLC (2006–2023). Before joining Rigden Enterprises in 2025, Neil Connolly was registered through Keen Wealth Advisors and Cetera Investment Advisers LLC.
- Rigden Capital StrategiesCurrent– present · under a yearOverland Park, KS · Adviser representative · Firm CRD 326930
- Keen Wealth Advisors– · under a yearOverland Park, KS · Adviser representative · Firm CRD 170293
- Cetera Investment Advisers LLC– · 1 yearOverland Park, KS · Adviser representative · Firm CRD 105644
- Commonwealth Financial Network– · under a yearOverland Park, KS · Adviser representative · Firm CRD 8032
- Charles Schwab & Co., Inc.– · 2 yearsLeawood, KS · Adviser representative · Firm CRD 5393
- TD Ameritrade Investment Management, LLC– · 17 yearsLeawood, KS · Adviser representative · Firm CRD 111514
- TD Ameritrade, Inc.– · 17 yearsLeawood, KS · Adviser representative · Firm CRD 7870
Professional designations
Listed by Rigden Enterprises
- CFP®
Investment adviser representative registrations
Neil Connolly is registered as an investment adviser representative in 2 states. The first approvals date from November 2025; the most recent is Colorado, in March 2026.
- ColoradoSince 30 March 2026
- KansasSince 18 November 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 29 December 2021 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 8 December 2021 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 10 September 2015 |
| Series 66 | Uniform Combined State Law Examination | 25 August 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 March 2000 |
| Series 7 | General Securities Representative Examination | 1 February 2000 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 9 June 1998 |
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Neil James Connolly
- CRD
- 3051216
- Firm
- Rigden Enterprises · CRD 326930
- Office
- Overland Park, KS
- Registration
- Investment adviser registration
- In the industry since
- April 2000
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- rigdencapital.com
Where does Neil Connolly work?
Neil Connolly is an investment adviser representative registered through Rigden Enterprises since November 2025, and is not listed among the firm’s executive officers or direct owners.
Is Neil Connolly a financial advisor?
Yes. Neil Connolly has a current investment-adviser registration in Colorado and Kansas, through Rigden Enterprises since November 2025.
How many years of experience does Neil Connolly have?
Neil Connolly has 26 years in the financial industry, since April 2000, across 7 adviser firms.
What exams has Neil Connolly passed?
Neil Connolly has passed 7 licensing exams: the Series 6, Series 7, Series 63, Series 66, Series 24, Series 10 and Series 9. The earliest, the Series 6, was passed in June 1998. FINRA credited Neil Connolly with the SIE, which began in October 2018.
Where did Neil Connolly work before Rigden Enterprises?
Before Rigden Enterprises, Neil Connolly was registered through Keen Wealth Advisors, August 2025 to November 2025; Cetera Investment Advisers LLC, June 2024 to August 2025; Commonwealth Financial Network, January 2024 to July 2024; Charles Schwab & Co., Inc., January 2022 to January 2024; TD Ameritrade Investment Management, LLC, May 2006 to September 2023; TD Ameritrade, Inc., September 2005 to October 2022.
Where is Neil Connolly based?
Neil Connolly’s registered office is in Overland Park, KS.
Is Neil Connolly registered with FINRA?
No. Neil Connolly has no current broker registration.
Is Neil Connolly a CFP?
Rigden Enterprises lists Neil Connolly with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
How can I verify Neil Connolly’s record?
Search CRD 3051216 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Neil Connolly’s full registration record.
