Donald E. Conrad

CONRAD CAPITAL MANAGEMENT

Hauppauge, NY 11788

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CRD#: 732579

Professional summary

Donald Edward Conrad is a registered financial advisor currently at CONRAD CAPITAL MANAGEMENT, INC. located in Hauppauge, New York and PURSHE KAPLAN STERLING INVESTMENTS located in Hauppauge, New York.

Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Donald has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1) CONRAD CAPITAL MANAGEMENT, INC.; INVESTMENT RELATED; 1300 VETERANS MEMORIAL HIGHWAY, SUITE 230, HAUPPAUGE, NY 11788; RIA - PRIVATE WEALTH MANAGEMENT; PRESIDENT & CEO/OWNER/INVESTMENT ADVISOR; 11/1997; 150 HRS/MONTH; 100 HRS/MONTH DURING SECURITIES HRS; INVESTMENT ADVISOR, CEO, MANAGE OVERALL FIRM. 2) LIFE INSURANCE AGENT; 15 HRS/MONTH; 3HRS/MONTH DURING SECURITIES HRS; EVALUATION OF CURRENT AND POTENTIAL POLICIES OF CLIENTS. 3) CCM PARTNERS, LP; INVESTMENT RELATED; 1300 VETERANS MEMORIAL HIGHWAY, SUITE 230, HAUPPAUGE, NY 11788; ALTERNATIVE INVESTMENT/HEDGE FUND OF FUNDS; AS PRESIDENT & CEO OF CCM, INC., I SERVE AS THE GENERAL PARTNER; 6/2002; 5 HRS/MONTH; 5 HRS/MONTH DURING SECURITIES HRS; GENERAL PARTNER, LEAD OFFICER OF THE FUND OF FUNDS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Edward Conrad's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 12, 2021 - Present

CONRAD CAPITAL MANAGEMENT, INC.

Office #1: 1300 Veterans Memorial Hwy Suite 230, Hauppauge, NY 11788

RIA

CRD#: 113648

Hauppauge, NY

Current

March 22, 2011 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 1300 Veterans Memorial Highway Suite 230, Hauppauge, NY 11788

CRD#: 35747

Hauppauge, NY

Past

September 29, 2000 - February 28, 2011

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

ISLANDIA, NY

Past

November 18, 1997 - October 25, 2000

D.E. FREY & COMPANY, INC.

CRD#: 23595

DENVER, CO

Past

March 18, 1993 - October 20, 1997

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 14, 1988 - April 13, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 22, 1983 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

June 14, 1981 - March 31, 1983

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CONRAD CAPITAL MANAGEMENT, INC.

CRD#: 113648 / SEC#: 801-60622

RIA

Registered Investment Advisory firm - (10/16/2001 Approved)

New York

Registered Investment Advisory firm - (1/12/2004 Cancelled)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(7/12/2023)

Delaware
(1/3/2019)

Florida
(3/25/2011)

Georgia
(11/28/2016)

Indiana
(5/13/2021)

Maine
(1/13/2014)

Maryland
(4/14/2011)

New Jersey
(3/22/2011)

New York
(3/22/2011)

IAR

New York
(6/12/2021)

North Carolina
(10/1/2025)

Pennsylvania
(4/14/2011)

Rhode Island
(2/12/2013)

Tennessee
(10/23/2020)

Virginia
(4/15/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/6/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/20/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/1983

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/12/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/2/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CONRAD CAPITAL MANAGEMENT, INC.

CRD#: 113648 / SEC#: 801-60622

RIA

Registered Investment Advisory firm - (10/16/2001 Approved)

New York

Registered Investment Advisory firm - (1/12/2004 Cancelled)

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Contact information

Main Address

1300 Veterans Memorial Hwy Suite 230, Hauppauge, NY 11788

Mailing Address

Phone number

(631) 439-7878

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CONRAD CAPITAL MANAGEMENT, INC. ADV BROCHURE (3/4/2025)

Regulatory assets under management

Total Number of Accounts	563
AUM (Assets Under Management)	$ 83,575,037

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.

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Firm Stability Insights

Donald E. Conrad

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Edward Conrad's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

WESTERN INTERNATIONAL SECURITIES, INC.

D.E. FREY & COMPANY, INC.

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CONRAD CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/6/1992

Series 63

Date: 5/20/1983

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/19/1983

Series 6

Date: 6/12/1981

Series 24

Date: 5/2/1998

FINRA

Current Firm

CONRAD CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONRAD CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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