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JC

John Conway

FORESIDE FUND SERVICES
Broomfield, CO 80021
Some features on this profile are disabled
CRD#: 5051935
JC

Professional summary

John Conway, who also goes by John D Conway, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Broomfield, Colorado.

John is registered as a RR (Registered Representative) and started their career in finance in 2005. John has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John D 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) - BD

Click below to view John Conway'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

April 28, 2026 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 1200 Entrepreneurial Drive, Broomfield, CO 80021
BD
CRD#: 46106
Broomfield, CO
Past

November 29, 2022 - March 19, 2026

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

March 1, 2022 - March 19, 2026

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
BOSTON, MA
Past

January 10, 2011 - July 29, 2021

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
BOSTON, MA
Past

June 1, 2009 - January 10, 2011

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

November 19, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 17, 2005 - August 24, 2007

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
CHARLOTTE, NC

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(4/28/2026)
RR
Maine
(4/28/2026)
RR
Massachusetts
(4/28/2026)
RR
New Hampshire
(4/28/2026)
RR
New York
(4/28/2026)
RR
Rhode Island
(4/28/2026)
RR
Vermont
(4/28/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 12/5/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 2/6/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 12/13/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/16/2005
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FORESIDE FUND SERVICES, LLC
FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(207) 553-7110
Established
Delaware since 09/08/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRES/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145
STROUT, ALICIA KIMBERLYCHIEF COMPLIANCE OFFICER/VICE PRESIDENT6320351

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.

Company Information

FORESIDE FUND SERVICES, LLC

CRD#: 46106Broomfield, CO 80021

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