William J. 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.
William John Conway, who also goes by Bill John Conway, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1968. William had worked at 5 firms and has passed the SIE, Series 1, Series 4, F04 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
September 5, 2003 - May 21, 2019
IPI WEALTH MANAGEMENT, INC.
September 5, 2003 - May 21, 2019
INVESTMENT PLANNERS, INC.
January 7, 1999 - December 31, 2003
WILLIAM J. CONWAY & CO., INC.
October 15, 1976 - December 31, 2003
WILLIAM J. CONWAY & CO., INC.
March 15, 1974 - November 18, 1976
R. ROWLAND & CO., INCORPORATED
August 14, 1968 - April 4, 1974
DUPONT WALSTON & CO INC
Primary Firm SEC Registration
IPI WEALTH MANAGEMENT, INC.
CRD#: 111872 / SEC#: 801-56878
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: 8/8/1968
Registered Representative ExaminationF04
Date: 9/21/1976
Financial Principal ExaminationSeries 00
Date: 1/15/1972
General Securities Principal ExaminationCurrent Firm
IPI WEALTH MANAGEMENT, INC.
CRD#: 111872 / SEC#: 801-56878
Contact information
SEC notice filing (47 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 10,743 |
| AUM (Assets Under Management) | $ 2,248,994,441 |
Red Flags
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