Joseph F. Conway
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Francis Conway, who also goes by Rocco Conway, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1985. Joseph had worked at 17 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 14, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2013 - January 27, 2015
RABO SECURITIES USA, INC.
March 29, 2012 - December 6, 2012
HSBC SECURITIES (USA) INC.
December 11, 2007 - January 1, 2010
UBS SERVICES USA LLC
December 11, 2007 - August 17, 2010
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
December 11, 2007 - August 17, 2010
UBS FINANCIAL SERVICES INC.
June 10, 2005 - January 1, 2010
UBS INTERNATIONAL INC.
October 20, 2004 - December 13, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 8, 2001 - October 20, 2004
QUICK & REILLY, INC.
April 3, 2001 - October 29, 2001
NETFOLIO SECURITIES, INC.
February 7, 1997 - October 12, 1998
MORGAN STANLEY & CO. LLC
February 10, 1992 - February 28, 1995
CITICORP INVESTMENT SERVICES
September 10, 1991 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
August 7, 1991 - August 7, 1991
CITICORP INVESTMENT SERVICES
March 18, 1991 - August 5, 1991
PRUDENTIAL EQUITY GROUP, LLC
November 30, 1989 - February 14, 1991
GLOBAL AMERICA INCORPORATED
June 14, 1988 - November 24, 1989
MANUFACTURERS HANOVER SECURITIES CORPORATION
May 14, 1988 - June 2, 1988
LEHMAN BROTHERS INC.
September 24, 1985 - May 14, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 8/29/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RABO SECURITIES USA, INC.
CRD#: 122657 / SEC#: , 8-65525
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UTRECHT-AMERICA HOLDINGS, INC | SOLE SHAREHOLDER | |
| AMIN, SHREYA | SECRETARY | 7368182 |
| BASSETT, DAVID FRANCIS | CHAIRMAN | 2802027 |
| CHESTER, WILLIAM PETER | DIRECTOR | 5868288 |
| DEMAZURE PELLETIER, CHRISTINE MARIE | DIRECTOR | 5481370 |
| KITTEL, CHRISTOPHER FREDERICK | CHIEF COMPLIANCE OFFICER | 2718043 |
| KORMANEK, SHAWN PATRICK | DIRECTOR | 7310810 |
| LAMPER, KATHERINE S | DIRECTOR | 5202959 |
| LAZAROV, DUSAN OBRAD | DIRECTOR | 7904295 |
| MARTENS, ANDREA MARIE | FINANCIAL AND OPERATIONS PRINCIPAL | 1187593 |
| PASDAR, NADER | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4702711 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
