Chris R. 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.
Chris Robert Conway, who also goes by Chris Conway, was a registered financial professional .
Chris is a previously registered financial professional and started their career in finance in 1996. Chris had worked at 5 firms and has passed the SIE 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
December 23, 2011 - December 9, 2015
FIRST AMERICAN SECURITIES, INC.
January 20, 2009 - January 13, 2012
AVANTAX INVESTMENT SERVICES, INC.
November 17, 2004 - December 19, 2008
LEGEND EQUITIES CORPORATION
July 11, 2000 - November 18, 2004
WORLD INVESTMENTS, LLC
July 3, 1996 - June 23, 2000
WMA SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST AMERICAN SECURITIES, INC.
CRD#: 35841 / SEC#: 801-61017, 8-47094
Contact information
Disclosures
| Regulatory Event | 4 |
Red Flags
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