Richard William Conroy
Professional Summary
Richard William Conroy, who also goes by Dick Conroy, is a registered financial advisor currently at ROCKLAND SECURITIES, LLC located in Warren, New Jersey. Richard is registered as a RR (Registered Representative) and started their career in finance in 1999. Richard has worked at 4 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 27 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dick Conroy
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
27 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
ROCKLAND PARTNERS, L.P. | ROCKLAND SECURITIES, LLC
Contact Information
Main Address
55 Mountain Blvd 2nd Floor, Warren, NJ 07059Mailing Address
55 Mountain Blvd 2nd Floor, Warren, NJ 07059Phone Number
+1 (800) 834-6549Established
Delaware since 10/21/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONROY, RICHARD WILLIAM | MEMBER; CCO AND FINOP | 3164099 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(1/5/2004)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard William Conroy's CRS (Customer Relationship Summary).
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