Michael F. Conroy
Professional summary
Michael Francis Conroy, who also goes by Michael Conroy, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Austin, Texas and FIRST TRUST PORTFOLIOS L.P. located in Austin, Texas.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Michael has worked at 5 firms and has passed the 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 Michael Francis Conroy's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 12, 2015 - Present
FIRST TRUST ADVISORS LP
Office #1: Ibc Building 500 West 5th Street 8th Floor, Austin, TX, 78701October 2, 2015 - Present
FIRST TRUST PORTFOLIOS L.P.
Office #1: Ibc Building 500 West 5th Street 8th Floor, Austin, TX, 78701August 25, 2006 - June 18, 2009
NORTHERN TRUST SECURITIES, INC.
June 14, 2004 - June 27, 2006
FORESIDE FUNDS DISTRIBUTORS LLC
July 16, 2003 - May 7, 2004
DWS DISTRIBUTORS, INC.
Primary Firm SEC Registration
FIRST TRUST ADVISORS LP
CRD#: 107027 / SEC#: 801-39950
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/7/2015)
(11/12/2015)
Exams
FINRA
Current Firm
FIRST TRUST ADVISORS LP
CRD#: 107027 / SEC#: 801-39950
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,033 |
| AUM (Assets Under Management) | $ 256,328,000,000 |
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.
