Joseph W. 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.
Joseph Warren Conway, who also goes by Joseph Warren Conway Sr., was a registered financial advisor .
Joseph is a previously registered financial advisor and started their career in finance in 1966. Joseph had worked at 3 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2007 - September 19, 2011
GROVE POINT INVESTMENTS, LLC
March 20, 2007 - September 19, 2011
GROVE POINT INVESTMENTS, LLC
October 6, 2005 - November 30, 2007
DSI ADVISERS, INC.
January 20, 1966 - September 16, 2011
DIVERSIFIED SECURITIES, INCORPORATED
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
Series 1
Date: 7/19/1962
Registered Representative ExaminationSeries 00
Date: 1/10/1966
General Securities Principal ExaminationCurrent Firm
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 1 |
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.
