James R. Conway
Professional summary
James Robert Conway is a registered financial professional currently at TOURMALINE PARTNERS, LLC located in Stamford, Connecticut.
James is registered as a RR (Registered Representative) and started their career in finance in 2002. James has worked at 9 firms and has passed the Series 63, Series 3, Series 99TO, SIE, Series 87, Series 7, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Robert Conway's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 19, 2022 - Present
TOURMALINE PARTNERS, LLC
Office #1: 680 Washington Blvd. 10th Floor, Stamford, CT 06901June 10, 2021 - April 26, 2022
SIEBERT WILLIAMS SHANK & CO., LLC
November 20, 2018 - May 27, 2021
OCEANUS SECURITIES, LLC
May 16, 2017 - April 24, 2018
INVESTACORP, INC.
February 24, 2017 - May 16, 2017
ARXIS SECURITIES LLC
June 25, 2014 - December 31, 2016
PARK AVENUE SECURITIES LLC
October 19, 2009 - May 26, 2014
LOUIS CAPITAL MARKETS, LLC
May 20, 2002 - December 2, 2002
TFS BLACKWOOD, LLC
May 20, 2002 - March 19, 2008
TFS DERIVATIVES 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
(7/28/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
TOURMALINE PARTNERS, LLC
CRD#: 154492 / SEC#: , 8-68644
Contact information
FINRA licenses (33 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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