David A. Tyson

CONNING INVESTMENT PRODUCTS

Hartford, CT 06103-2627

Some features on this profile are disabled

CRD#: 2960864

Professional summary

David Alan Tyson, who also goes by David A Tyson, is a registered financial professional currently at CONNING INVESTMENT PRODUCTS, INC. located in Hartford, Connecticut.

David is registered as a RR (Registered Representative) and started their career in finance in 1994. David has worked at 3 firms and has passed the Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David A Tyson

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) - BD

Click below to view David Alan Tyson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

August 18, 2025 - Present

CONNING INVESTMENT PRODUCTS, INC.

Office #1: One Financial Plaza 755 Main Street, Hartford, CT 06103-2627

RIA

CRD#: 120387

Hartford, CT

Past

February 27, 2014 - August 17, 2018

RIVERSEDGE CONVERTIBLE PORTFOLIO ADVISORS, LLC

RIA

CRD#: 144418

PLEASANT VALLEY, CT

Past

September 28, 2012 - December 31, 2013

RIVERSEDGE CONVERTIBLE PORTFOLIO ADVISORS, LLC

RIA

CRD#: 144418

PLEASANT VALLEY, CT

Past

June 22, 1994 - November 22, 2004

TRAVELERS ASSET MANAGEMENT INTERNATIONAL CO.,LLC

RIA

CRD#: 108925

HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CONNING INVESTMENT PRODUCTS, INC.

CONNING | CONNING RESEARCH & CONSULTING, INC. | CONNING INVESTMENT PRODUCTS, INC.

CRD#: 120387 / SEC#: 801-79816, 8-66444

RIA

Registered Investment Advisory firm - SEC (6/5/2014 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(9/26/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/26/2025

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/18/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/30/2025

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

CONNING INVESTMENT PRODUCTS, INC.

CONNING | CONNING RESEARCH & CONSULTING, INC. | CONNING INVESTMENT PRODUCTS, INC.

CRD#: 120387 / SEC#: 801-79816, 8-66444

RIA

Registered Investment Advisory firm - SEC (6/5/2014 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Financial Plaza 755 Main Street, Hartford, CT 06103

Mailing Address

One Financial Plaza, Hartford, CT 06103-2627

Phone number

(860) 299-2000

Established

Delaware since 02/13/2002

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (1 States and Territories)

FINRA licenses (10 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MARCH 2025 (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
CONNING & COMPANY	SHAREHOLDER
BRADFORD, LINWOOD EARLE JR	CHAIR BOARD OF DIRECTORS	4179446
DALY, MATTHEW KENNETH	PRESIDENT & HEAD OF SALES/ BOARD MEMBER	2638773
GEORGE, KENNETH RONALD	FINOP	2643369
LEE, JUNG WON	MANAGING DIRECTOR, CFO & COO, BOARD MEMBER	2791334
PEARCE, ROBERT STEDMAN	MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER	1991468
SMALLEY, VI (VIOLA) R.	CHIEF LEGAL COUNSEL/CORPORATE SECRETARY	5899872

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 517,711,336

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.

Similar Advisors

Samuel Kaplowitz

BREACHWAY INVESTMENTS, LLC

IAR

West Hartford, CT

Richard Rake

FINANCIAL RESOURCES GROUP, LLC

IAR

GLASTONBURY, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David A. Tyson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Alan Tyson's CRS (Customer Relationship Summary).

Certified licenses

Experience

RIVERSEDGE CONVERTIBLE PORTFOLIO ADVISORS, LLC

RIVERSEDGE CONVERTIBLE PORTFOLIO ADVISORS, LLC

TRAVELERS ASSET MANAGEMENT INTERNATIONAL CO.,LLC

Primary Firm SEC Registration

CONNING INVESTMENT PRODUCTS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/26/2025

Series 7TO

Date: 8/18/2025

SIE

Date: 5/30/2025

FINRA

Current Firm

CONNING INVESTMENT PRODUCTS, INC.

Contact information

SEC notice filing (1 States and Territories)

FINRA licenses (10 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

CONNING INVESTMENT PRODUCTS, INC.

TRUST BUT VERIFY

Similar Advisors