Jeffrey J. 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.
Jeffrey Joseph Conway, who also goes by Jeffrey J Conway, Jeffrey Conway, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1999. Jeffrey had worked at 5 firms and has passed the Series 63, Series 3, Series 7, Series 2, Series 4 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
September 20, 2022 - April 16, 2025
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
July 13, 2015 - December 31, 2019
RYE GLOBAL INVESTORS, LLC
September 7, 2011 - May 8, 2014
UBS SECURITIES LLC
June 10, 2009 - September 19, 2011
MORGAN STANLEY & CO. LLC
June 1, 2009 - May 11, 2010
MORGAN STANLEY
June 20, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
October 12, 2001 - June 7, 2007
UBS SECURITIES LLC
October 6, 1999 - March 9, 2000
MORGAN STANLEY & CO. LLC
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
Series 2
Date: 10/21/1994
Non-Member General Securities ExaminationCurrent Firm
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
CRD#: 18353 / SEC#: , 8-36540
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIFM HOLDCO, LLC | SOLE MEMBER | |
| HENNING, MEREDITH FARWELL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4315489 |
| LEE, H SOO | SENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER | 6834507 |
| LEIBOWITZ, KAREN | PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER | 2693999 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| TAITE, LOUIS ANTHONY | CHIEF OPERATIONS OFFICER AND SENIOR VICE PRESIDENT | 5065572 |
Disclosures
| Regulatory Event | 6 |
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.
