Brian B. Conroy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brian Bernard Conroy, who also goes by Brian Conroy, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1988. Brian had worked at 7 firms and has passed the Series 63, Series 55, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2019 - April 26, 2021
LIQUIDNET, INC.
February 22, 2011 - December 12, 2014
FIDELITY BROKERAGE SERVICES LLC
February 22, 2011 - December 15, 2014
NATIONAL FINANCIAL SERVICES LLC
April 12, 2002 - May 17, 2002
ABN AMRO INCORPORATED
March 1, 2002 - April 12, 2002
ABN AMRO INCORPORATED
April 30, 2001 - March 1, 2002
ABN AMRO SECURITIES LLC
March 21, 2001 - April 30, 2001
ABN AMRO INCORPORATED
January 12, 1999 - March 23, 2001
JPMSI
March 22, 1988 - January 21, 1999
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 1/25/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 4/26/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LIQUIDNET, INC.
CRD#: 103987 / SEC#: , 8-52461
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
Red Flags
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