Peter W. 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.
Peter Wycliffe Conway Jr., who also goes by Peter W Conway Jr., Peter Wycliffe Conway Jr., Peter Wycliffe Conway, Peter Conway, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2000. Peter had worked at 18 firms and has passed the Series 65, Series 66, Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2023 - May 15, 2025
BNY MELLON SECURITIES CORPORATION
January 1, 2022 - May 15, 2025
BNY ADVISORS
August 30, 2021 - March 4, 2024
PERSHING LLC
December 3, 2018 - July 6, 2021
FIDELITY BROKERAGE SERVICES LLC
August 21, 2018 - October 25, 2018
USAA INVESTMENT SERVICES COMPANY
August 14, 2018 - October 24, 2018
USAA FINANCIAL ADVISORS, INC.
September 8, 2017 - June 26, 2018
JCC CAPITAL MARKETS, LLC
January 3, 2017 - September 7, 2017
MORGAN STANLEY
September 8, 2016 - September 7, 2017
MORGAN STANLEY
July 21, 2014 - March 2, 2016
JCC CAPITAL MARKETS, LLC
March 8, 2013 - July 15, 2014
SELECT CAPITAL CORPORATION
September 9, 2011 - February 20, 2013
ALLIANCE AFFILIATED EQUITIES CORPORATION
May 12, 2011 - September 8, 2011
HERITAGE ADVISORY SERVICES, INC.
February 14, 2011 - September 8, 2011
HERITAGE FINANCIAL SYSTEMS, LLC
March 25, 2009 - November 25, 2009
AFA ADVISOR SERVICES LLC
March 25, 2009 - February 16, 2010
AFA FINANCIAL GROUP, LLC
March 24, 2008 - March 9, 2009
CHASE INVESTMENT SERVICES CORP.
March 24, 2008 - March 9, 2009
CHASE INVESTMENT SERVICES CORP.
October 26, 2005 - November 27, 2007
PGIM INVESTMENTS LLC
May 12, 2004 - October 18, 2005
PGIM INVESTMENTS LLC
February 27, 2001 - November 27, 2007
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 6, 2000 - January 1, 2001
TD AMERITRADE, INC.
Primary Firm SEC Registration
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
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 52TO
Date: 8/4/2023
Municipal Securities Representative ExaminationCurrent Firm
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY MELLON INVESTMENT ADVISER, INC. | DIRECT OWNER | |
| BRADLE, KENNETH JAMES | PRESIDENT AND DIRECTOR | 1827956 |
| DIPETRILLO, DAVID JOHN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4904926 |
| MARQUIT, HAL ROBERT | ROSFP (SROP/CROP) & MUNICIPAL SECURITIES PRINCIPAL | 1530120 |
| OSAVAGE, JACK EDWARD | CHIEF TECHNOLOGY OFFICER | 8186430 |
| PAPADOULIS, IRENE DESPINA | EXECTUVE VICE PRESIDENT AND DIRECTOR | 733025 |
| PASQUALE, GREGORY JOHN | CHIEF FINANCIAL OFFICER & TREASURER & FINOP | 6562167 |
| PIGOTT, JOSEPH E | CHIEF RISK OFFICER | 6619448 |
| ROBINSON, SCOTT JARED | CHIEF LEGAL OFFICER | 5396859 |
| SACCONE, ROBERT BRIAN | CHIEF COMPLIANCE OFFICER (BROKERDEALER) | 1114349 |
| SQUILLACE, JOHN | CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISORY BUSINESS) | 5504616 |
Regulatory assets under management
| Total Number of Accounts | 3,823 |
| AUM (Assets Under Management) | $ 7,139,421,698 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/28/2024 | ||
| 10/27/2023 |
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.
