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MC

Molly A. Conway

WELLINGTON FUNDS DISTRIBUTORS
SAN FRANCISCO, CA 94111
Some features on this profile are disabled
CRD#: 5355858
MC

Professional summary

Molly Ann Conway is a registered financial professional currently at WELLINGTON FUNDS DISTRIBUTORS INC. located in San Francisco, California.

Molly is registered as a RR (Registered Representative) and started their career in finance in 2007. Molly has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Molly Ann 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

September 15, 2016 - Present

WELLINGTON FUNDS DISTRIBUTORS INC.

Office #1: Four Embarcadero Center Suite 3120, San Francisco, CA 94111
BD
CRD#: 152768
SAN FRANCISCO, CA
Past

June 11, 2008 - June 20, 2016

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA
CRD#: 138756
BOSTON, MA
Past

July 24, 2007 - June 20, 2016

AMUNDI DISTRIBUTOR US, INC.

BD
CRD#: 24497
BOSTON, MA

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
California
(6/18/2019)
RR
Massachusetts
(9/15/2016)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/16/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/14/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/11/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/23/2007
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WF
WELLINGTON FUNDS DISTRIBUTORS INC.
WELLINGTON FUNDS DISTRIBUTORS INC. | WELLINGTON MANAGEMENT ADVISERS, INC

CRD#: 152768 / SEC#: , 8-68476

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
280 Congress Street, Boston, MA 02210
Mailing Address
280 Congress Street, Boston, MA 02210
Phone number
(617) 951-5000
Established
Delaware since 10/29/2009
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
WELLINGTON MANAGEMENT FUNDS HOLDINGS LLPHOLDING COMPANY
COYNE, LAURA ANN ESQ.DIRECTOR7053320
GEORGE, JEFFREY BRIANDIRECTOR8180600
HAVLICEK, DESMOND ANTHONYDIRECTOR2843267
MACKENZIE, BRENDAN MICHAELDIRECTOR5051963
MARTIN, SARA ANNCHIEF LEGAL OFFICER7469775
MILLEN, SARAH MACKTEZCHIEF FINANCIAL OFFICER7116565
SHANNON, MARY KEHOEDIRECTOR6439388
SHANNON, MARY KEHOEPRESIDENT6439388
WILLIAMS, ASHLEY LEIGHCHIEF COMPLIANCE OFFICER5498874

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

WELLINGTON FUNDS DISTRIBUTORS INC.

CRD#: 152768San Francisco, CA 94111

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