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TC

Travis A. Conway

Some features on this profile are disabled
CRD#: 4349914
TC

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.

Travis Alexander Conway, who also goes by Travis A Conway, was a registered financial professional .

Travis is a previously registered financial professional and started their career in finance in 2012. Travis had worked at 3 firms and has passed the SIE, Series 79 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Travis A Conway

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 15, 2015 - January 5, 2018

SDR CAPITAL MARKETS, LLC

BD
CRD#: 170652
GREENWOOD VILLAGE, CO
Past

June 20, 2014 - January 23, 2015

GVC CAPITAL LLC

BD
CRD#: 38923
Greenwood Village, CO
Past

November 13, 2012 - June 19, 2014

COLORADO FINANCIAL SERVICE CORPORATION

BD
CRD#: 104343
GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 1/5/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 11/12/2012
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/2/2014
General Securities Principal Examination

Current Firm

SC
SDR CAPITAL MARKETS, LLC
SDR CAPITAL MARKETS, INC. | SDR CAPITAL MARKETS, LLC

CRD#: 170652 / SEC#: , 8-69430

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
5613 Dtc Parkway, Suite 830, Greenwood Village, CO 80111
Mailing Address
5613 Dtc Parkway, Suite 830, Greenwood Village, CO 80111
Phone number
(720) 221-9220
Established
Colorado since 01/13/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
INTEGRITY CAPITAL ADVISORS, LLCMEMBER
DAVIS, ERIC SEANMEMBER/GENERAL SECURITIES PRINCIPAL4392769
ELIASON, GEOFFRY SEAN MR.CHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER4904780

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.

Company Information

SDR CAPITAL MARKETS, LLC

CRD#: 170652

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