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SANDRA LYNN CONROY
SANDRA LYNN WELLS
CRD#: 1393242
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 6400 S FIDDLERS GREEN CIR
GREENWOOD VILLAGE, CO 80111
Registration History
1985199019952000200520102015202020252 FIRMS1987 - 1987 (<1 year)2 FIRMS2004 - 2006 (2 years)2 FIRMS2006 - 2017 (10 years)2 FIRMS2017 - Present (7 years)BMORGAN STANLEY DW INC. (CRD# 7556)1995 - 2004 (9 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1988 - 1995 (6 years)BGRAYSTONE NASH, INC. (CRD# 10635)1987 - 1988 (<1 year)BTHE STUART-JAMES COMPANY, INC. (CRD# 11691)1985 - 1987 (2 years)IAMORGAN STANLEY (CRD# 7556)1999 - 2004 (5 years)
License(s)

State Registrations

B
Arizona 7/9/2019

B
New Mexico 6/20/2017

B
California 6/20/2017

B
New York 6/20/2017

B
Colorado 6/20/2017

B
North Carolina 2/23/2022

IA
Colorado 6/20/2017

B
Oklahoma 6/20/2017

B
Florida 6/20/2017

B
Oregon 1/22/2024

B
Hawaii 1/22/2024

B
Texas 5/3/2024

B
Illinois 1/22/2024

IA
Texas 5/15/2024

B
Indiana 10/3/2024

B
Utah 5/13/2021

B
Maryland 6/20/2017

B
Virginia 1/22/2024

B
Missouri 1/22/2024

B
Washington 1/17/2024

B
Nebraska 6/20/2017

B
Wisconsin 1/3/2019

B
Nevada 7/13/2020

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
6400 S FIDDLERS GREEN CIR, GREENWOOD VILLAGE, CO 80111
Registered with this firm since 6/20/2017

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
6400 S FIDDLERS GREEN CIR, GREENWOOD VILLAGE, CO 80111
Registered with this firm since 6/20/2017

Previous Registration(s)
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IA
08/12/2006 - 06/29/2017 UBS FINANCIAL SERVICES INC. (CRD#:8174) LONE TREE, CO
B
08/12/2006 - 06/29/2017 UBS FINANCIAL SERVICES INC. (CRD#:8174) LONE TREE, CO
IA
08/23/2004 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) LITTLETON, CO
B
08/23/2004 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) LITTLETON, CO
IA
01/01/1999 - 08/25/2004 MORGAN STANLEY (CRD#:7556) CENTENNIAL, CO
B
01/25/1995 - 08/25/2004 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
10/18/1988 - 02/17/1995 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
11/25/1987 - 10/24/1988 GRAYSTONE NASH, INC. (CRD#:10635)
FINRA expelled the firm on 07/31/1996
B
09/10/1987 - 12/01/1987 KOBER FINANCIAL CORP. (CRD#:17551)
B
08/04/1987 - 09/18/1987 CHUBB SECURITIES CORPORATION (CRD#:3870)
B
08/21/1985 - 08/11/1987 THE STUART-JAMES COMPANY, INC. (CRD#:11691)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.