James B. Conway

LUMBARD & KELLNER

Hollis, NH 03049-0749

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CRD#: 5019263

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James B Conway Jr | James Bowler Conway Jr | Jay Bowler Conway | Jay Conway | Jmaes Bowler 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) - RIA

Click below to view James B Conway JR.'s CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

October 14, 2020 - Present

LUMBARD & KELLNER, LLC

Office #1: 5 Hutchings Drive, Hollis, NH 03049-0749

RIA

CRD#: 117196

Hollis, NH

Past

July 10, 2015 - October 13, 2020

FC ADVISORS

RIA

CRD#: 168050

WALNUT CREEK, CA

Past

April 20, 2006 - July 7, 2015

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA

CRD#: 138756

BOSTON, MA

Past

December 9, 2005 - April 20, 2006

AMUNDI ASSET MANAGEMENT US, INC.

RIA

CRD#: 107719

BOSTON, MA

Past

November 3, 2005 - July 7, 2015

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LUMBARD & KELLNER, LLC

LUMBARD & KELLNER, LLC | LUMBARD INVESTMENT COUNSELING LLC | LUMBARD INVESTMENT COUNSELING

CRD#: 117196 / SEC#: 801-61888

RIA

Registered Investment Advisory firm - (2/14/2003 Approved)

New Hampshire

Registered Investment Advisory firm - (2/27/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Hampshire
(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

State Security Law Exam

IAR

Series 66

Date: 12/8/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/7/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/2/2005

General Securities Representative Examination

Current Firm

LUMBARD & KELLNER, LLC

LUMBARD & KELLNER, LLC | LUMBARD INVESTMENT COUNSELING LLC | LUMBARD INVESTMENT COUNSELING

CRD#: 117196 / SEC#: 801-61888

RIA

Registered Investment Advisory firm - (2/14/2003 Approved)

New Hampshire

Registered Investment Advisory firm - (2/27/2003 Terminated)

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Contact information

Main Address

5 Hutchings Drive, Hollis, NH 03049-0749

Mailing Address

Post Office Box 749, Hollis, NH 03049-0749

Phone number

(603) 465-7700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LUMBARD & KELLNER ADV PART 2B BROCHURE SUPPLEMENT (3/26/2025)

LUMBARD & KELLNER BROCHURE ADV2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	122
AUM (Assets Under Management)	$ 357,178,342

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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James B. Conway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James B Conway JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

FC ADVISORS

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

AMUNDI ASSET MANAGEMENT US, INC.

AMUNDI DISTRIBUTOR US, INC.

Primary Firm SEC Registration

LUMBARD & KELLNER, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/8/2005

SIE

Date: 7/7/2015

Series 7

Date: 11/2/2005

Current Firm

LUMBARD & KELLNER, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LUMBARD & KELLNER, LLC

TRUST BUT VERIFY

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