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Joseph A. Conway

CRD#: 1528592
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JC
Joseph Anthony 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 Anthony Conway, who also goes by Joseph A Conway, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1986. Joseph had 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"?
No

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.
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

June 23, 2023 - April 28, 2026

NORTHCOAST RESEARCH PARTNERS, LLC

RIA
CRD#: 149109
Cleveland, OH
Past

February 1, 2010 - April 28, 2026

NORTHCOAST RESEARCH PARTNERS, LLC

BD
CRD#: 149109
Cleveland, OH
Past

May 1, 2009 - June 4, 2017

AMERICA NORTHCOAST SECURITIES, INC.

BD
CRD#: 16076
CLEVELAND, OH
Past

October 21, 2002 - April 30, 2009

FTN EQUITY CAPITAL MARKETS CORP.

BD
CRD#: 119625
CLEVELAND, OH
Past

January 2, 2001 - October 21, 2002

FHN FINANCIAL SECURITIES CORP.

BD
CRD#: 46346
MEMPHIS, TN
Past

June 4, 1997 - January 2, 2001

FIFTH THIRD/MAXUS SECURITIES INC

BD
CRD#: 6790
CLEVELAND, OH
Past

February 26, 1996 - March 19, 1996

FIFTH THIRD/MAXUS SECURITIES INC

BD
CRD#: 6790
Past

July 10, 1995 - March 25, 1996

ROULSTON RESEARCH CORP.

BD
CRD#: 3235
CLEVELAND, OH
Past

July 8, 1994 - July 14, 1995

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

September 4, 1990 - June 1, 1994

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

July 11, 1990 - September 4, 1990

PRESCOTT, BALL & TURBEN, INC.

BD
CRD#: 7656
Past

August 1, 1986 - July 24, 1990

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/22/2023
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/13/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 1/26/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/19/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/26/1999
General Securities Principal Examination

Current Firm

NR
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)
BD
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
32

FINRA licenses (21 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
NORTHCOAST RESEARCH HOLDINGS, LLCSOLE MEMBER / PARENT
MEHTA, KARTIKMANAGING OFFICER3034087
RAFFA, SALVATORE ANTONINOCHIEF FINANCIAL OFFICER3213782
RIZZO, MARTIN PAULPRESIDENT AND CCO1520499

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.

Company Information

NORTHCOAST RESEARCH PARTNERS, LLC

CRD#: 149109

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