Robert W. 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.
Robert Walter Conway JR was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 4 firms and has passed the Series 63, Series 72 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2002 - November 16, 2021
ICAP SECURITIES USA LLC
March 24, 1999 - January 25, 2002
ICAP SECURITIES USA LLC
January 13, 1997 - March 22, 1999
INTERCAPITAL GOVERNMENT SECURITIES INC.
March 27, 1996 - November 12, 1996
TULLETT LIBERTY BROKERAGE INC.
January 4, 1989 - March 22, 1999
INTERCAPITAL INTERNATIONAL INC.
July 25, 1987 - April 8, 1996
INTERCAPITAL GOVERNMENT SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
ICAP SECURITIES USA LLC
CRD#: 19739 / SEC#: , 8-37947
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICAP GLOBAL BROKING INC. | SOLE MEMBER | |
| BERNARDO, SHAWN FRANCIS | CEO | 2513376 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GOULET, STEPHEN PAUL | SENIOR MANAGING DIRECTOR/GENERAL COUNSEL/SECRETARY | 4769810 |
| MURPHY, GREGORY FRANCIS | CHIEF OPERATING OFFICER | 1483320 |
| PEZEU, CHRISTIAN JEAN MICHEL | PRINCIPAL FINANCIAL OFFICER | 5661987 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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