Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Richard Conroy is a financial advisor currently registered with Wells Fargo Clearing Services, LLC. David has been in the financial industry since 1991 and has worked with a variety of firms, including Citigroup Global Markets Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. David holds a Series 7, Series 31, Series 63, and Series 65 licenses, as well as a SIE. David is registered with the following states: Alabama, Alaska, Arizona, California, Hawaii, Idaho, Michigan, Minnesota, Nevada, New York, North Carolina, Oregon, Pennsylvania, Rhode Island, Tennessee, Texas, Utah, Virginia, and Washington. David's office is located at 27201 Puerta Real, Ste 220 in Mission Viejo, CA.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
09/29/2006 - Present
Wells Fargo Clearing Services, LLC (MISSION VIEJO CA)
CA
07/27/2001 - 10/09/2006
CITIGROUP GLOBAL MARKETS INC. (LAGUNA NIGUEL CA)
NY
04/24/1991 - 07/30/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 12/13/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/11/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/10/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 04/22/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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