SC
Sean M. Conway
CURI CAPITAL
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 5031601
SC
Professional summary
Sean Michael Conway, who also goes by Sean M Conway, is a registered financial advisor currently at CURI CAPITAL, LLC located in Chicago, Illinois.
Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Sean has worked at 2 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean M 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.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Michael Conway's 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®
NoneExperience
Current
June 25, 2008 - Present
CURI CAPITAL, LLC
Office #1: One North Wacker Drive Suite 3500, Chicago, IL 60606RIA
CRD#: 134249
CHICAGO, IL
Past
December 7, 2005 - August 2, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHICAGO, IL
Past
November 9, 2005 - August 2, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHICAGO, IL
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".
CC
CURI CAPITAL, LLC
B CAPITAL MANAGEMENT, LLC | RMB JACOBUS | RMB CAPITAL MANAGEMENT, LLC | RMB CAPITAL MANAGEMENT | KDI | JB, A DIVISION OF RMB ASSET MANAGEMENT | IRONBRIDGE, A DIVISION OF RMB ASSET MANAGEMENT | CURI WEALTH MANAGEMENT | CURI RMB JACOBUS | CURI RMB CAPITAL, LLC | CURI RMB ASSET MANAGEMENT | CURI RETIREMENT SERVICES | CURI CAPITAL, LLC | CURI CAPITAL WEALTH BUILDER | CURI CAPITAL RETIREMENT PLAN SOLUTIONS
CRD#: 134249 / SEC#: 801-63939
RIA
Registered Investment Advisory firm - (2/15/2005 Approved)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
Illinois(6/25/2008)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
CC
CURI CAPITAL, LLC
B CAPITAL MANAGEMENT, LLC | RMB JACOBUS | RMB CAPITAL MANAGEMENT, LLC | RMB CAPITAL MANAGEMENT | KDI | JB, A DIVISION OF RMB ASSET MANAGEMENT | IRONBRIDGE, A DIVISION OF RMB ASSET MANAGEMENT | CURI WEALTH MANAGEMENT | CURI RMB JACOBUS | CURI RMB CAPITAL, LLC | CURI RMB ASSET MANAGEMENT | CURI RETIREMENT SERVICES | CURI CAPITAL, LLC | CURI CAPITAL WEALTH BUILDER | CURI CAPITAL RETIREMENT PLAN SOLUTIONS
CRD#: 134249 / SEC#: 801-63939
RIA
Registered Investment Advisory firm - (2/15/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One North Wacker Drive Suite 3500, Chicago, IL 60606
Mailing Address
Phone number
(312) 993-5800
Established
Firm type
Fiscal year end
# of Employees
168
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,209 |
| AUM (Assets Under Management) | $ 9,830,680,915 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/01/2025 | ||
| 11/27/2024 | ||
| 10/27/2023 | ||
| 09/26/2022 |
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.
