Richard L. 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.
Richard Lydon Conway, who also goes by Rick Conway, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2013 - February 18, 2014
SCHOOL STREET PARTNERS L.L.C.
October 7, 2005 - June 18, 2007
LIBRA SECURITIES, LLC
March 16, 2004 - July 26, 2005
SECURIAN FINANCIAL SERVICES, INC.
October 29, 2002 - March 1, 2004
LIBRA SECURITIES, LLC
November 11, 1996 - March 18, 1998
LIBRA INVESTMENTS, INC.
October 2, 1995 - October 25, 1996
CRT CAPITAL GROUP LLC
May 26, 1993 - January 11, 1994
D.A. DAVIDSON & CO.
State Registrations and Notice Filings
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Exams
Current Firm
SCHOOL STREET PARTNERS L.L.C.
CRD#: 167374 / SEC#:
Contact information
Red Flags
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