Sandra Lynn Conroy

CRD 1393242 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Greenwood Village, CO

IA RegisteredBroker

Also appears in the source record as: Sandra Lynn Wells

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 66Series 63Series 9Series 10Series 24SIESeries 31Series 3Series 7
Registered states (24): Arizona · California · Colorado · Florida · Hawaii · Illinois · Indiana · Maryland · Minnesota · Missouri · Montana · Nebraska · Nevada · New Mexico · New York · North Carolina · Oklahoma · Oregon · South Dakota · Texas · Utah · Virginia · Washington · Wisconsin
Years in the industry (source record): 41
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (13)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Greenwood Village, CO · IA capacity

Jun 20, 2017 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Greenwood Village, CO · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
BD capacity

Aug 12, 2006 → Jun 29, 2017
Ubs Financial Services Inc.
IA capacity

Aug 12, 2006 → Jun 29, 2017
Piper Jaffray & Co.
BD capacity

Aug 23, 2004 → Aug 12, 2006
Piper Jaffray & Co.
IA capacity

Aug 23, 2004 → Aug 12, 2006
Morgan Stanley
IA capacity

Jan 1, 1999 → Aug 25, 2004
Morgan Stanley Dw Inc.
BD capacity

Jan 25, 1995 → Aug 25, 2004
Painewebber Incorporated
BD capacity

Oct 18, 1988 → Feb 17, 1995
Graystone Nash, Inc.
BD capacity

Nov 25, 1987 → Oct 24, 1988
Kober Financial Corp.
BD capacity

Sep 10, 1987 → Dec 1, 1987
Chubb Securities Corporation
BD capacity

Aug 4, 1987 → Sep 18, 1987
The Stuart-James Company, Inc.
BD capacity

Aug 21, 1985 → Aug 11, 1987

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1393242 ↗ FINRA BrokerCheck record for CRD 1393242 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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