Tim J. Conway
Professional summary
Tim Joseph Conway, who also goes by Timothy Joseph Conway, is a registered financial professional currently at CAPIS located in Dallas, Texas.
Tim is registered as a RR (Registered Representative) and started their career in finance in 1985. Tim has worked at 15 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 9, Series 10, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tim Joseph Conway's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 8, 2025 - Present
CAPIS
Office #1: 1700 Pacific Ave. Suite 1100, Dallas, TX 75201December 9, 2024 - April 3, 2025
TD SECURITIES (USA) LLC
October 26, 2017 - December 9, 2024
COWEN AND COMPANY
May 21, 2015 - November 19, 2018
COWEN EXECUTION SERVICES LLC
January 3, 2011 - October 15, 2014
VIRTU AMERICAS LLC
March 3, 2008 - October 21, 2008
EDGETRADE LLC
March 3, 2008 - January 3, 2011
KNIGHT DIRECT LLC
January 4, 2007 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
September 30, 2005 - April 7, 2006
BRIDGE TRADING COMPANY
April 15, 2004 - June 30, 2005
LYNCH, JONES & RYAN LLC
April 15, 2004 - April 7, 2006
INSTINET, LLC
April 15, 2004 - April 7, 2006
NOMURA SECURITIES NORTH AMERICA, LLC
July 11, 2003 - April 14, 2004
NOMURA SECURITIES NORTH AMERICA, LLC
August 1, 2000 - April 14, 2004
INSTINET, LLC
July 20, 2000 - August 1, 2000
REUTERS C CORPORATION
May 10, 1989 - April 14, 2004
LYNCH, JONES & RYAN LLC
November 17, 1987 - March 20, 1989
YAMAICHI INTERNATIONAL (AMERICA) INC.
March 19, 1985 - November 9, 1987
MARTIN SIMPSON & 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
(4/8/2025)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/8/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 11/10/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
New York Stock Exchange
Current Firm
CAPIS
CRD#: 7551 / SEC#: , 8-22273
Contact information
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CULLEN POTTS STOCK TRUST | SHAREHOLDER | |
| HEIDEMANN REVOCABLE TRUST | SHAREHOLDER | |
| CHOATE, DAVID PAUL | CHIEF OPERATIONS OFFICER | 1568590 |
| DONALD C. POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | SHAREHOLDER | |
| DONALD C. POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | SHAREHOLDER | |
| HEIDEMANN, JORGEN HAMILTON | DIRECTOR | 1042114 |
| HUSEINBEGOVIC, BENIN NMN | CHIEF FINANCIAL OFFICER / FINOP | 4806696 |
| KICAK, THOMAS ALAN | CHIEF COMPLIANCE OFFICER | 1441596 |
| LAMENDOLA, STEPHEN DEAN | CHIEF INFORMATION OFFICER | 4006443 |
| POTTS, DONALD CULLEN II | TRUSTEE, CULLEN POTTS STOCK TRUST | 2845666 |
| POTTS, DONALD CULLEN II | CHAIRMAN OF THE BOARD | 2845666 |
| SARA SUE POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | SHAREHOLDER | |
| SARA SUE POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | SHAREHOLDER | |
| SEBERT, ANN VANSANT | TRUSTEE, SARA SUE POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | 4589262 |
| SEBERT, ANN VANSANT | TRUSTEE, DONALD C. POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | 4589262 |
| SEBERT, ANN VANSANT | TRUSTEE, SARA SUE POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | 4589262 |
| SEBERT, ANN VANSANT | TRUSTEE, DONALD C. POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | 4589262 |
| SEBERT, ANN VANSANT | CHIEF EXECUTIVE OFFICER | 4589262 |
Disclosures
| Regulatory Event | 9 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
CAPIS
CRD#: 7551Dallas, TX 75201TRUST BUT VERIFY
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