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Michael V. Conroy

Some features on this profile are disabled
CRD#: 1965759
MC

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.

Michael Vincent Conroy, who also goes by Michael Conroy, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 16 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Conroy

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 11, 2008 - November 28, 2017

BLOOMBERG TRADEBOOK LLC

BD
CRD#: 40881
NEW YORK, NY
Past

April 28, 2008 - June 4, 2008

NEWEDGE USA, LLC

BD
CRD#: 36118
NEW YORK, NY
Past

April 28, 2008 - June 4, 2008

NEWEDGE FINANCIAL INC.

BD
CRD#: 27322
NEW YORK, NY
Past

January 3, 2007 - May 16, 2008

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

July 21, 2005 - January 3, 2007

SANDERS MORRIS LLC

BD
CRD#: 20580
GARDEN CITY, NY
Past

March 9, 2005 - July 28, 2005

BLACKBOOK CAPITAL, LLC

BD
CRD#: 123234
HILLSIDE, NJ
Past

December 9, 2002 - February 11, 2003

ELECTRONIC SECURITIES PROCESSING (ESP) LLC

BD
CRD#: 103730
NEW YORK, NY
Past

May 10, 2002 - July 12, 2005

MILLENNIUM BROKERAGE, L.L.C.

BD
CRD#: 47728
CHATHAM, NJ
Past

August 8, 2001 - May 6, 2002

NAVILLUS SECURITIES, INC.

BD
CRD#: 31230
WEST CONSHOHOCKEN, PA
Past

July 21, 2000 - February 21, 2001

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

May 4, 2000 - June 22, 2000

RUMSON CAPITAL, LLC

BD
CRD#: 33848
MONTEBELLO, NY
Past

July 7, 1992 - July 30, 1999

BLACKFORD SECURITIES CORP.

BD
CRD#: 20954
GARDEN CITY, NY
Past

May 8, 1991 - February 7, 1992

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

November 2, 1990 - March 7, 1991

ASIEL & CO. LLC

BD
CRD#: 1112
NEW YORK, NY
Past

September 11, 1989 - January 31, 1990

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

July 11, 1989 - September 7, 1989

REICH & CO., INC.

BD
CRD#: 19611

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/13/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/28/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 7/11/2008
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 5/16/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/31/1990
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/10/1989
Investment Company Products/Variable Contracts Representative Examination

Current Firm

BT
BLOOMBERG TRADEBOOK LLC
BLOOMBERG TRADEBOOK | BLOOMBERG TRADEBROOK LLC | BLOOMBERG TRADEBOOK LLC

CRD#: 40881 / SEC#: , 8-49219

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
731 Lexington Ave, New York, NY 10022
Mailing Address
731 Lexington Ave, New York, NY 10022
Phone number
(212) 617-4865
Established
Delaware since 03/28/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BLOOMBERG L.P.MANAGING MEMBER
KLEINBAUER, DEREK JOSEFCEO/PRESIDENT7279271
MILHAM, CHRISTOPHER MICHAELCHIEF FINANCIAL OFFICER, PFO, POO3092157
ROTELA, DOUGLAS MARTINCHIEF COMPLIANCE OFFICER5127496

Disclosures

Regulatory Event9

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

BLOOMBERG TRADEBOOK LLC

CRD#: 40881

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