Michael J. Conway
Professional summary
Michael J Conway, who also goes by Michael James Conway, Michael Conway, is a registered financial advisor currently at SVB WEALTH located in San Francisco, California and FIRST CITIZENS INVESTOR SERVICES, INC. located in San Francisco, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Michael has worked at 6 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael J Conway's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 4, 2022 - Present
SVB WEALTH
Office #1: 222 2nd Street 18th Floor, San Francisco, CA 94105May 29, 2025 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 222 2nd Street 18th Floor, San Francisco, CA 94105December 22, 2023 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 222 2nd Street 18th Floor, San Francisco, CA 94105July 2, 2020 - December 31, 2023
SVB INVESTMENT SERVICES INC.
February 7, 2017 - July 29, 2022
SVB INVESTMENT SERVICES INC.
January 12, 2012 - January 17, 2017
SVB ASSET MANAGEMENT
January 12, 2012 - January 17, 2017
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
January 14, 2011 - November 30, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 2010 - November 30, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
SVB WEALTH
CRD#: 172832 / SEC#: 801-80480
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/4/2022)
(12/26/2023)
(1/10/2023)
(1/23/2023)
(3/15/2022)
(1/12/2023)
(1/12/2023)
Exams
FINRA
Current Firm
SVB WEALTH
CRD#: 172832 / SEC#: 801-80480
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,739 |
| AUM (Assets Under Management) | $ 4,983,411,995 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 09/20/2024 | ||
| 10/31/2022 |
Red Flags
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