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Robert T. Conway

Some features on this profile are disabled
CRD#: 2329507
RC

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 Thomas Conway was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 12 firms and has passed the Series 63, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

March 21, 2006 - December 19, 2008

GROSSMAN & CO., LLC.

BD
CRD#: 10222
NEW YORK, NY
Past

July 23, 2002 - April 16, 2004

A.B. WATLEY DIRECT, INC.

BD
CRD#: 18663
NEW YORK, NY
Past

July 3, 2002 - February 3, 2004

A.B. WATLEY, INC.

BD
CRD#: 797
NEW YORK, NY
Past

January 16, 2002 - June 25, 2002

TRINIX SECURITIES LLC

BD
CRD#: 103360
ENCINITAS, CA
Past

March 27, 2001 - February 4, 2002

HARMONIC RESEARCH, INC.

BD
CRD#: 37704
NEW YORK, NY
Past

December 17, 1999 - March 27, 2001

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 1, 1995 - December 21, 1999

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

May 23, 1995 - November 8, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 15, 1994 - February 7, 1995

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

May 6, 1994 - August 29, 1994

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

January 24, 1994 - March 9, 1994

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

March 15, 1993 - September 2, 1993

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
EDISON, NJ

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
Series 63
Date: 3/9/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/11/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/11/1993
Investment Company Products/Variable Contracts Representative Examination

Current Firm

G&
GROSSMAN & CO., LLC.
GROSSMAN & CO. | GROSSMAN, DENNIS LEE | GROSSMAN & CO., LLC.

CRD#: 10222 / SEC#: , 8-26397

BD
Terminated by SEC on 02/15/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/16/2000
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GROSSMAN, DENNIS LEEMANAGING MEMBER/CCO/FINOP870170

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

GROSSMAN & CO., LLC.

CRD#: 10222

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