Peter James Conway
Professional Summary
Peter James Conway is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Buffalo Grove, Illinois. Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Peter has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 3 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
31 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BROOKSTONE CAPITAL MANAGEMENT LLC | XL ADVISORS LLC
Contact Information
Main Address
1745 S. Naperville Road Suite 200, Wheaton, IL 60189Phone Number
(630) 653-1400# of Employees
405SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
81,900AUM (Assets Under Management)
$12,750,129,748Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
BROOKSTONE CAPITAL MANAGEMENT LLC | XL ADVISORS LLC
State Registrations and Notice Filings
(6/19/2017)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1999About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Peter James Conway's CRS (Customer Relationship Summary).
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