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Detailed Report
SCOTT DOUGLAS CONROY
SCOTT D CONROY
CRD#: 3107719
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 120 FRONT ST
PONTE VEDRA BEACH, FL 32082
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2002 - 2003 (<1 year)2 FIRMS2003 - Present (22 years)BFEDERATED SECURITIES CORP. (CRD# 5009)1999 - 2002 (2 years)BFAIRCHILD FINANCIAL GROUP, INC. (CRD# 21404)1998 - 1998 (<1 year)IAFEDERATED INVESTMENT COUNSELING (CRD# 105325)2002 - 2002 (<1 year)
Disclosure(s)
View By:
7/23/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 3/29/2024
B
Nevada 6/26/2013
B
California 9/11/2020
B
New Hampshire 8/16/2023
B
Colorado 1/3/2019
B
New Jersey 1/8/2019
B
District of Columbia 2/1/2024
B
New Mexico 1/3/2019
B
Florida 4/23/2003
B
New York 3/22/2012
IA
Florida 4/25/2003
B
North Carolina 4/23/2003
B
Georgia 4/23/2003
B
Pennsylvania 4/23/2003
B
Idaho 8/22/2013
B
South Carolina 10/23/2017
B
Illinois 12/18/2023
B
Tennessee 3/16/2012
B
Kentucky 10/24/2019
B
Texas 2/6/2019
B
Maine 1/23/2019
IA
Texas 2/6/2019
B
Maryland 3/11/2024
B
Virginia 1/3/2019
B
Massachusetts 1/11/2017
B
Washington 6/22/2021
B
Michigan 1/4/2019
B
West Virginia 7/25/2022
B
Mississippi 3/28/2025
B
Wisconsin 4/7/2020
B
Missouri 3/11/2022

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
120 FRONT ST, PONTE VEDRA BEACH, FL 32082
818 HIGHWAY A1A, PONTE VEDRA BEACH, FL 32082
Registered with this firm since 4/25/2003
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
120 FRONT ST, PONTE VEDRA BEACH, FL 32082
818 HIGHWAY A1A, PONTE VEDRA BEACH, FL 32082
Registered with this firm since 4/23/2003
Previous Registration(s)
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IA
 06/26/2002 - 04/17/2003 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) JACKSONVILLE, FL
B
 06/19/2002 - 04/17/2003 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
IA
 01/11/2002 - 11/06/2002 FEDERATED INVESTMENT COUNSELING (CRD#:105325) PITTSBURGH, PA
B
 07/01/1999 - 06/12/2002 FEDERATED SECURITIES CORP. (CRD#:5009) PITTSBURGH, PA
B
 08/27/1998 - 10/14/1998 FAIRCHILD FINANCIAL GROUP, INC. (CRD#:21404)
FINRA expelled the firm on 12/20/2001
NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.