James 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.
James Michael Conroy was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 6 firms and has passed the Series 63, Series 65, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2011 - December 31, 2013
NEXT FINANCIAL GROUP, INC.
February 22, 2011 - December 31, 2013
NEXT FINANCIAL GROUP, INC.
June 20, 2007 - March 18, 2009
BUTLER, WICK & CO., INC.
June 19, 2007 - March 18, 2009
BUTLER, WICK & CO., INC.
February 2, 2007 - June 20, 2007
STIFEL INDEPENDENT ADVISORS, LLC
February 2, 2007 - June 20, 2007
STIFEL INDEPENDENT ADVISORS, LLC
April 7, 2006 - November 28, 2006
KEY INVESTMENT SERVICES LLC
April 6, 2006 - November 28, 2006
KEY INVESTMENT SERVICES LLC
February 20, 2003 - November 11, 2005
NATCITY INVESTMENTS, INC.
May 25, 2000 - February 11, 2003
CITIGROUP GLOBAL MARKETS 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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
