James B Conway JR.
Professional Summary
James B Conway JR., who also goes by James B Conway Jr, James Bowler Conway Jr, Jay Bowler Conway, Jay Conway, Jmaes Bowler Conway, is a registered financial advisor currently at LUMBARD & KELLNER, LLC located in Hollis, New Hampshire. James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. James has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James B Conway JR., James B Conway Jr, James Bowler Conway Jr, Jay Bowler Conway, Jay Conway, Jmaes Bowler Conway
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Contact Information
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Disclosures on record.
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.
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Years of Experience
21 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
LUMBARD & KELLNER, LLC | LUMBARD INVESTMENT COUNSELING LLC | LUMBARD INVESTMENT COUNSELING
Contact Information
Main Address
5 Hutchings Drive, Hollis, NH 03049-0749Mailing Address
Post Office Box 749, Hollis, NH 03049-0749Phone Number
(603) 465-7700# of Employees
4SEC notice filing (6 States and Territories)
Registered to provide investment advisory services in 6 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
321AUM (Assets Under Management)
$443,616,831Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
LUMBARD & KELLNER, LLC | LUMBARD INVESTMENT COUNSELING LLC | LUMBARD INVESTMENT COUNSELING
State Registrations and Notice Filings
(10/14/2020)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view James B Conway JR.'s CRS (Customer Relationship Summary).
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