Kenneth D. 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.
Kenneth Daniel Conway, who also goes by Ken Daniel Conway, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 2002. Kenneth had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 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
February 26, 2014 - July 17, 2015
HOULIHAN CAPITAL, LLC
September 2, 2010 - November 25, 2011
LPL FINANCIAL LLC
June 19, 2008 - November 25, 2011
LPL FINANCIAL LLC
July 25, 2006 - April 24, 2008
AMERICAN MONEY MANAGEMENT, LLC
August 17, 2005 - April 3, 2006
LPL FINANCIAL LLC
August 7, 2002 - September 3, 2003
DWS DISTRIBUTORS, INC.
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
Current Firm
HOULIHAN CAPITAL, LLC
CRD#: 156028 / SEC#: , 8-68762
Contact information
FINRA licenses (10 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
