John J. Conway
Professional summary
John James Conway, who also goes by John J Conway, John James Conway, is a registered financial professional currently at CITIGROUP GLOBAL MARKETS INC. located in New York, New York and CITI PRIVATE ALTERNATIVES, LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1986. John has worked at 14 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John James Conway's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 18, 2024 - Present
CITIGROUP GLOBAL MARKETS INC.
Office #1: 388 Greenwich Street Tower Building, New York, NY 10013September 11, 2024 - Present
CITI PRIVATE ALTERNATIVES, LLC
Office #1: 388 Greenwich Street 29th Floor, New York, NY 10013November 5, 2024 - Present
CITICORP SECURITIES SERVICES, INC.
Office #1: 390 - 388 Greenwich Street 388 Greenwich Street, New York, NY 10013July 17, 2017 - November 15, 2023
BNY MELLON CAPITAL MARKETS, LLC
March 16, 2017 - June 19, 2017
STATE STREET GLOBAL MARKETS, LLC
October 31, 2012 - May 1, 2017
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
June 10, 2010 - October 24, 2012
BARCLAYS CAPITAL INC.
August 22, 2008 - September 26, 2009
CITI ORDER ROUTING AND EXECUTION, LLC
August 22, 2008 - September 26, 2009
AUTOMATED TRADING DESK BROKERAGE SERVICES, LLC
April 3, 2008 - September 26, 2009
CITIGROUP DERIVATIVES MARKETS INC.
August 30, 2007 - September 26, 2009
CITICORP SECURITIES SERVICES, INC.
July 24, 2007 - September 26, 2009
LAVAFLOW, INC.
December 9, 1998 - September 26, 2009
CITIGROUP GLOBAL MARKETS INC.
February 10, 1998 - May 21, 1998
COWEN AND COMPANY
September 12, 1995 - October 21, 1996
MORGAN STANLEY DW INC.
December 26, 1986 - May 15, 1989
THOMSON MCKINNON SECURITIES 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 99TO
Date: 1/2/2023
Operations Professional Examination24X National Exchange LLC
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CITICORP SECURITIES SERVICES, INC.
CRD#: 15387 / SEC#: , 8-32117
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP FINANCIAL PRODUCTS INC. | 100% SHAREHOLDER | |
| BARRATT, CHRISTOPHER | CHIEF OPERATIONS OFFICER | 5659131 |
| BROPHY, RYAN JAMES | CCO | 2668207 |
| CONWAY, JOHN JAMES | CHIEF FINANCIAL OFFICER (FINOP) | 1584619 |
| LARA, PABLO I | DIRECTOR | 5398044 |
| MAILLEUX, SEBASTIEN ANDRE PAUL | DIRECTOR | 7545656 |
| MAILLEUX, SEBASTIEN ANDRE PAUL | CHIEF EXECUTIVE OFFICER/CHAIRMAN/PRESIDENT | 7545656 |
| WADE, WILLIAM THOMAS | DIRECTOR | 2095481 |
Disclosures
| Regulatory Event | 2 |
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.
