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KC

Kevin O. Conway

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CRD#: 1757347
KC

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.

Kevin Owen Conway, who also goes by Ace Conway, was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1987. Kevin had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ace 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

January 15, 2016 - May 24, 2018

INVERNESS SECURITIES, LLC

BD
CRD#: 129914
Cleveland, OH
Past

April 15, 2013 - December 31, 2015

SAFEGUARD SECURITIES, INC.

BD
CRD#: 31256
MAYFIELD HEIGHTS, OH
Past

June 9, 2005 - December 31, 2009

SAFEGUARD SECURITIES, INC.

BD
CRD#: 31256
CLEVELAND, OH
Past

January 20, 2004 - April 4, 2014

AMERICA NORTHCOAST SECURITIES, INC.

BD
CRD#: 16076
CLEVELAND, OH
Past

December 15, 2001 - January 2, 2003

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
CINCINNATI, OH
Past

March 5, 1999 - December 15, 2001

FIFTH THIRD/MAXUS SECURITIES INC

BD
CRD#: 6790
CLEVELAND, OH
Past

February 16, 1994 - August 11, 1995

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

August 26, 1992 - March 5, 1994

SEAPORT SECURITIES CORP.

BD
CRD#: 8330
NEW YORK, NY
Past

September 28, 1989 - October 16, 1991

RONEY & CO. L.L.C.

BD
CRD#: 900
DETROIT, MI
Past

November 25, 1987 - August 29, 1989

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691
DENVER, CO

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: 10/28/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/8/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/24/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/28/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/10/2005
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/4/2004
General Securities Principal Examination

Current Firm

IS
INVERNESS SECURITIES, LLC
INVERNESS SECURITIES, LLC | TCG ADVISORS, LLC

CRD#: 129914 / SEC#: , 8-66278

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

Main Address
6060 Parkland Blvd Ste 200, Cleveland, OH 44124
Mailing Address
6060 Parkland Blvd Ste 200, Cleveland, OH 44124
Phone number
(216) 839-5130
Established
Ohio since 06/12/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
INVERNESS HOLDING LLCHOLDING COMPANY
BENTON-COOPER, ASHLEYPRESIDENT/CHIEF COMPLIANCE OFFICER4977623
BUSH, FRED COSTONFINOP/PFO3075024
SCACCO, JEREMY JOSEPHVICE PRESIDENT- MUNICIPAL PRINCIPAL2800507
THOMAS, JERRY CDIRECTOR OF INSURANCE7043121

Disclosures

Regulatory Event1

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

INVERNESS SECURITIES, LLC

CRD#: 129914

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