Christopher D. Conway

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CRD#: 1450814

Professional summary

Christopher David Conway was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Christopher is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Christopher had worked at 6 firms, which includes ALLEGHENY INVESTMENTS LTD., MARINER FINANCIAL SERVICES INC., NATIONSSECURITIES, MORGAN STANLEY DW INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, UBS FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 7, 1995 - November 22, 1996

ALLEGHENY INVESTMENTS, LTD.

CRD#: 7597

PITTSBURGH, PA

Past

December 6, 1994 - May 1, 1995

MARINER FINANCIAL SERVICES, INC.

CRD#: 8292

LARGO, FL

Past

July 12, 1993 - October 17, 1994

NATIONSSECURITIES

CRD#: 32542

Past

September 19, 1991 - July 12, 1993

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

June 29, 1987 - March 16, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

January 22, 1986 - July 14, 1987

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALLEGHENY INVESTMENTS, LTD.

ALLEGHENY INVESTMENTS | ALLEGHENY INVESTMENTS, LTD.

CRD#: 7597 / SEC#: 801-57662, 8-22183

RIA

Registered Investment Advisory firm - SEC (6/2/2000 Approved)

Terminated by SEC on 03/15/2025

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/24/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/18/1991

General Securities Representative Examination

Current Firm

ALLEGHENY INVESTMENTS, LTD.

ALLEGHENY INVESTMENTS | ALLEGHENY INVESTMENTS, LTD.

CRD#: 7597 / SEC#: 801-57662, 8-22183

RIA

Registered Investment Advisory firm - SEC (6/2/2000 Approved)

Terminated by SEC on 03/15/2025

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Contact information

Main Address

Stone Quarry Crossing 811 Camp Horne Road, Suite 100, Pittsburgh, PA 15237

Mailing Address

Phone number

(412) 367-3880

Established

Pennsylvania since 09/01/1977

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 AI WRAP PROGRAM BROCHURE (4/1/2025)

2025 AI ADV PART 2 (4/1/2025)

Direct owners and executive officers

Name	Position	CRD#
HAWBAKER, STEPHEN TURNER	CCO	4752583

Regulatory assets under management

Total Number of Accounts	2,990
AUM (Assets Under Management)	$ 633,814,776

Disclosures

Regulatory Event	3
Arbitration	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/10/2025	Cover Page	Report
10/22/2024	Cover Page	Report
08/11/2023	Cover Page	Report
10/08/2022	Cover Page	Report

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.

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Christopher D. Conway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MARINER FINANCIAL SERVICES, INC.

NATIONSSECURITIES

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

ALLEGHENY INVESTMENTS, LTD.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/24/1991

Series 7

Date: 9/18/1991

Current Firm

ALLEGHENY INVESTMENTS, LTD.

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ALLEGHENY INVESTMENTS, LTD.

TRUST BUT VERIFY

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