Joseph A. Conway

NORTHCOAST RESEARCH PARTNERS

Cleveland, OH 44114

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CRD#: 1528592

Professional summary

Joseph Anthony Conway, who also goes by Joseph A Conway, is a registered financial advisor currently at NORTHCOAST RESEARCH PARTNERS, LLC located in Cleveland, Ohio.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Joseph has worked at 10 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph A Conway

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.

TREASURER OF FAMILY BUSINESS: DEB CONWAY INTERIORS. DEVOTE 0 HOURS DURING TRADING HOURS AND RECEIVE NO COMPENSATION. NOT INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Anthony Conway's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joseph Anthony Conway's CRS (Customer Relationship Summary).

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

Current

June 23, 2023 - Present

NORTHCOAST RESEARCH PARTNERS, LLC

Office #1: 1301 East Ninth Street 15th Floor, Cleveland, OH 44114Office #2: 1301 East Ninth Street 15th Floor, Cleveland, OH 44114

RIA

CRD#: 149109

Cleveland, OH

Current

February 1, 2010 - Present

NORTHCOAST RESEARCH PARTNERS, LLC

Office #1: 1301 East Ninth Street 15th Floor, Cleveland, OH 44114Office #2: 1301 East Ninth Street Suite 1500, Cleveland, OH 44114

RIA

CRD#: 149109

Cleveland, OH

Past

May 1, 2009 - June 4, 2017

AMERICA NORTHCOAST SECURITIES, INC.

CRD#: 16076

CLEVELAND, OH

Past

October 21, 2002 - April 30, 2009

FTN EQUITY CAPITAL MARKETS CORP.

CRD#: 119625

CLEVELAND, OH

Past

January 2, 2001 - October 21, 2002

FHN FINANCIAL SECURITIES CORP.

CRD#: 46346

MEMPHIS, TN

Past

June 4, 1997 - January 2, 2001

FIFTH THIRD/MAXUS SECURITIES INC

CRD#: 6790

CLEVELAND, OH

Past

February 26, 1996 - March 19, 1996

FIFTH THIRD/MAXUS SECURITIES INC

CRD#: 6790

Past

July 10, 1995 - March 25, 1996

ROULSTON RESEARCH CORP.

CRD#: 3235

CLEVELAND, OH

Past

July 8, 1994 - July 14, 1995

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 4, 1990 - June 1, 1994

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

July 11, 1990 - September 4, 1990

PRESCOTT, BALL & TURBEN, INC.

CRD#: 7656

Past

August 1, 1986 - July 24, 1990

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(6/5/2017)

Massachusetts
(3/16/2017)

New Jersey
(3/16/2017)

New York
(1/19/2017)

Ohio
(4/2/2017)

IAR

Ohio
(6/23/2023)

Texas
(11/16/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/22/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/13/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 1/26/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/26/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NORTHCOAST RESEARCH PARTNERS, LLC

CONTINUUM RESEARCH PARTNERS, LLC | NORTHCOAST RESEARCH PARTNERS, LLC

CRD#: 149109 / SEC#: , 8-68115

Ohio

Registered Investment Advisory firm - SEC (6/23/2023 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

1301 East Ninth Street 15th Floor, Cleveland, OH 44114

Mailing Address

1301 East Ninth Street 15th Floor, Cleveland, OH 44114

Phone number

(216) 468-6950

Established

Ohio since 10/29/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (21 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
NORTHCOAST RESEARCH HOLDINGS, LLC	SOLE MEMBER / PARENT
MEHTA, KARTIK	MANAGING OFFICER	3034087
RAFFA, SALVATORE ANTONINO	CHIEF FINANCIAL OFFICER	3213782
RIZZO, MARTIN PAUL	PRESIDENT AND CCO	1520499

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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Advisor Monitoring

Firm Stability Insights

Joseph A. Conway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Anthony Conway's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joseph Anthony Conway's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHCOAST RESEARCH PARTNERS, LLC

AMERICA NORTHCOAST SECURITIES, INC.

FTN EQUITY CAPITAL MARKETS CORP.

FHN FINANCIAL SECURITIES CORP.

FIFTH THIRD/MAXUS SECURITIES INC

FIFTH THIRD/MAXUS SECURITIES INC

ROULSTON RESEARCH CORP.

MORGAN STANLEY DW INC.

WELLS FARGO CLEARING SERVICES, LLC

PRESCOTT, BALL & TURBEN, INC.

KEYBANC CAPITAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/22/2023

Series 63

Date: 8/13/1986

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 1/26/2000

Series 7

Date: 7/19/1986

Series 24

Date: 1/26/1999

FINRA

Current Firm

NORTHCOAST RESEARCH PARTNERS, LLC

Contact information

FINRA licenses (21 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

NORTHCOAST RESEARCH PARTNERS, LLC

TRUST BUT VERIFY

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