Keith R. Conroy
Professional summary
Keith Richard Conroy, who also goes by Keith R Conroy, is a registered financial professional currently at LADENBURG THALMANN & CO. INC. located in New York, New York.
Keith is registered as a RR (Registered Representative) and started their career in finance in 1988. Keith has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Keith Richard Conroy's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 3, 2017 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 640 5th Avenue 4th Floor, New York, NY 10019July 17, 2014 - July 20, 2017
W.R. HAMBRECHT + CO., LLC
May 6, 2002 - August 12, 2013
CANACCORD GENUITY LLC
March 1, 2002 - April 12, 2002
ABN AMRO INCORPORATED
July 28, 1992 - March 1, 2002
ABN AMRO SECURITIES LLC
July 11, 1990 - June 9, 1992
WEEDEN & CO.L.P.
April 3, 1989 - June 11, 1990
PHOENIX CAPITAL MARKETS, INC.
May 9, 1988 - October 7, 1988
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/3/2017)
(8/3/2017)
(8/3/2017)
Exams
FINRA
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
Red Flags
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