Steven M. 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.
Steven Michael Conroy was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1996. Steven had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2012 - June 7, 2012
HCFP/CAPITAL MARKETS LLC
September 9, 2011 - June 7, 2012
AURIGA USA, LLC
August 16, 2010 - September 20, 2011
CAPSTONE INVESTMENTS
November 12, 2007 - June 28, 2010
CARIS & COMPANY, INC.
March 27, 1996 - October 26, 2007
B. RILEY SECURITIES, 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
Exams
Current Firm
HCFP/CAPITAL MARKETS LLC
CRD#: 149111 / SEC#: , 8-68107
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KATZ, MARIE | FINANCIAL AND OPERATIONS PRINCIPAL AND CCO | 2457660 |
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.
