Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sandra? Claim Your ProfileSandra Lynn Conroy is a financial professional with over 37 years of experience in the financial services industry. Sandra is currently registered as a Registered Representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Before joining Merrill Lynch, Sandra was employed by UBS Financial Services Inc for over 10 years. Throughout Sandra's career, she has held various positions at several firms, including Piper Jaffray & Co., Morgan Stanley DW Inc., PaineWebber Incorporated and Graystone Nash, Inc. Sandra possesses a wide range of licenses and credentials, including Series 3, 7, 9, 10, 24, 31, 63, 66, and SIE. Sandra also holds state licenses in several states.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
CO
05/15/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GREENWOOD VILLAGE CO)
CO
08/12/2006 - 06/29/2017
UBS FINANCIAL SERVICES INC. (LONE TREE CO)
CO
08/23/2004 - 08/12/2006
PIPER JAFFRAY & CO. (LITTLETON CO)
NY
01/25/1995 - 08/25/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NJ
10/18/1988 - 02/17/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
11/25/1987 - 10/24/1988
GRAYSTONE NASH, INC.
NA
09/10/1987 - 12/01/1987
KOBER FINANCIAL CORP.
NA
08/04/1987 - 09/18/1987
CHUBB SECURITIES CORPORATION
NA
08/21/1985 - 08/11/1987
THE STUART-JAMES COMPANY, INC.
BOTH
Issued 10/18/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 9/12/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 3/11/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 2/5/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 7/28/1988
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/23/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 3/22/1994
Series 3 - National Commodity Futures Examination
BC
Issued 8/17/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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