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Douglas F. Conrod

Some features on this profile are disabled
CRD#: 2457046
DC

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.

Douglas Franklin Conrod, who also goes by Doug Conrod, Douglas Franklin Conrod II, was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 1994. Douglas had worked at 11 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Doug Conrod | Douglas Franklin Conrod Ii

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

July 15, 2024 - February 18, 2026

TEMPLUM MARKETS LLC

BD
CRD#: 102840
NEW YORK, NY
Past

May 2, 2017 - May 28, 2021

DUCERA SECURITIES LLC

BD
CRD#: 269984
NEW YORK, NY
Past

August 28, 2014 - April 17, 2017

FOCUSPOINT PRIVATE CAPITAL GROUP

BD
CRD#: 122341
NEW YORK, NY
Past

January 24, 2014 - January 30, 2014

FOCUSPOINT PRIVATE CAPITAL GROUP

BD
CRD#: 122341
NEW YORK, NY
Past

May 14, 2013 - August 8, 2013

FOCUSPOINT PRIVATE CAPITAL GROUP

BD
CRD#: 122341
NEW YORK, NY
Past

April 23, 2010 - May 14, 2013

STONECASTLE SECURITIES, LLC

BD
CRD#: 131211
NEW YORK, NY
Past

April 25, 2005 - April 6, 2010

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

July 16, 2003 - February 15, 2005

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

September 13, 2002 - July 17, 2003

VCROSS CAPITAL MARKETS LLC

BD
CRD#: 40949
GREENWICH, CT
Past

November 15, 2000 - September 12, 2002

AK CAPITAL LLC

BD
CRD#: 28345
NEW YORK, NY
Past

June 26, 1998 - March 9, 2000

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

February 21, 1997 - April 3, 1998

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

April 29, 1994 - December 3, 1996

JPMSI

BD
CRD#: 15733
NEW YORK, NY

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: 7/24/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/24/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 6/24/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/27/1994
General Securities Representative Examination

Current Firm

TM
TEMPLUM MARKETS LLC
GENESIS SECURITIES, INC. | VISIONQUEST SECURITIES, LLC. | TEMPLUM MARKETS LLC | OUISA CAPITAL LLC | LIQUID M CAPITAL LLC | GENESIS SECURITIES, LLC

CRD#: 102840 / SEC#: , 8-52169

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

Main Address
315 Madison Ave 3rd Fl, New York, NY 10017
Mailing Address
315 Madison Ave 3rd Fl, New York, NY 10017
Phone number
(332) 895-5038
Established
Delaware since 01/25/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TEMPLUM, INC.SHAREHOLDER
LEE, EDWARD JCHIEF COMPLIANCE OFFICER4150803
RAMOS, JOSEPH MARIOPFO/POO, CEO/PRESIDENT2065829
VALLONE, ROBERT GERARDFINOP6836338

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

TEMPLUM MARKETS LLC

CRD#: 102840

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