Elliot S. 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.
Elliot Stewart Conway, who also goes by Elliot Conway, was a registered financial professional .
Elliot is a previously registered financial professional and started their career in finance in 1993. Elliot had worked at 5 firms and has passed the Series 63, SIE, Series 79, 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
January 9, 2018 - February 26, 2020
PAPAMARKOU WELLNER & CO., INC.
September 11, 2015 - December 31, 2015
EWING BEMISS
January 7, 2011 - November 11, 2014
WELLINGTON SHIELDS & CO., LLC
December 18, 1998 - January 12, 2009
CITIGROUP GLOBAL MARKETS INC.
June 25, 1993 - December 18, 1998
CITICORP SECURITIES, 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
PAPAMARKOU WELLNER & CO., INC.
CRD#: 10963 / SEC#: , 8-29033
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLNER, KARL GERT | SOLE DIRECTOR, MAJORITY SHAREHOLDER | 4640763 |
| PERKIN, THORNE LEWIS | SHAREHOLDER | 4016951 |
| DOHERTY, JAMES HUGH | PRINCIPAL OPERATIONS OFFICER | 4197747 |
| LYONS, BRYON HAROLD | CCO | 2798054 |
| RUTITSKIY, DMITRIY NMN | FINOP/PFO/CFO | 6117665 |
| ZERILLO, JOANNE NMN | CEO; MUNICIPAL SECURITIES PRINCIPAL; ROSFP; PRESIDENT | 2284618 |
Disclosures
| Regulatory Event | 1 |
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.
