Timothy F. 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.
Timothy Frank Conway, who also goes by Tim Conway, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1993. Timothy had worked at 8 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2011 - September 5, 2012
THE INVESTMENT CENTER, INC.
March 27, 2002 - August 4, 2006
RBC CAPITAL MARKETS, LLC
March 26, 2002 - March 27, 2002
TUCKER ANTHONY INCORPORATED
February 13, 2002 - February 21, 2002
HAZLETT, BURT & WATSON, INC.
May 18, 1999 - March 7, 2002
TUCKER ANTHONY INCORPORATED
August 18, 1997 - May 24, 1999
FSC SECURITIES CORPORATION
January 31, 1997 - August 18, 1997
OSAIC WEALTH, INC.
October 18, 1994 - January 31, 1997
KEOGLER, MORGAN & COMPANY, INC.
July 18, 1994 - October 28, 1994
CETERA WEALTH SERVICES, LLC
April 1, 1993 - July 18, 1994
KEOGLER, MORGAN & COMPANY, 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
Current Firm
THE INVESTMENT CENTER, INC.
CRD#: 17839 / SEC#: , 8-35826
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
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.
