Basil E. Conroy
Professional summary
Basil Edmund Conroy, CFP® is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in Bronx, New York.
Basil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Basil has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Basil Edmund Conroy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Basil Edmund Conroy's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 29, 2016 - Present
CITY NATIONAL SECURITIES, INC.
Office #2: 400 Park Avenue 8th Floor, New York, NY, 10022March 29, 2016 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 400 Park Avenue 8th Floor, New York, NY, 10022July 25, 2014 - February 4, 2016
WELLS FARGO CLEARING SERVICES, LLC
July 25, 2014 - February 4, 2016
WELLS FARGO CLEARING SERVICES, LLC
May 17, 2011 - July 2, 2014
WELLS FARGO CLEARING SERVICES, LLC
May 16, 2011 - July 2, 2014
WELLS FARGO CLEARING SERVICES, LLC
February 2, 2009 - October 20, 2010
BNY MELLON SECURITIES CORPORATION
June 14, 2005 - September 5, 2007
BNY INVESTMENT CENTER INC.
July 18, 1996 - April 12, 2004
CITICORP INVESTMENT SERVICES
May 4, 1993 - May 28, 1996
USAA INVESTMENT SERVICES COMPANY
November 3, 1992 - April 14, 1993
SWBC INVESTMENT COMPANY
July 15, 1992 - October 7, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 15, 1992 - October 7, 1992
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/29/2016)
(3/29/2016)
(4/8/2016)
Exams
FINRA
Current Firm
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
Contact information
SEC notice filing (31 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY NATIONAL BANK | SOLE SHAREHOLDER | |
| BANUELOS, ALMA DELIA | BOARD MEMBER | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| BRETADO, SANTIAGO AVILA | VP, CFO | 1945627 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | BOARD DIRECTOR | 3182583 |
| O'KEEFFE, IVOR PATRICK | BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 7574191 |
Regulatory assets under management
| Total Number of Accounts | 2,004 |
| AUM (Assets Under Management) | $ 1,591,349,877 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
