Stephen V. 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.
Stephen Victor Conway was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1980. Stephen had worked at 14 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 4, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2015 - August 17, 2020
EVERGREEN CAPITAL MANAGEMENT LLC
July 27, 1999 - November 18, 1999
WELLS FARGO SECURITIES INC.
August 13, 1997 - October 2, 1998
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 10, 1996 - May 22, 1997
DETWILER FENTON WEALTH MANAGEMENT INC
June 5, 1991 - April 30, 1996
JACK WHITE & COMPANY, INC.
April 26, 1989 - April 11, 1991
VANGUARD CAPITAL
August 26, 1988 - April 11, 1991
VANGUARD CAPITAL
February 16, 1988 - August 30, 1988
BLISS SECURITIES, INC.
October 3, 1986 - December 4, 1987
AMERIPRISE ADVISOR SERVICES, INC.
August 23, 1985 - July 14, 1986
FIXED INCOME SECURITIES, INC.
July 3, 1985 - August 12, 1985
QUINN & CO., INC.
September 4, 1984 - July 15, 1985
TAMARON INVESTMENTS, INC.
January 5, 1984 - September 19, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
September 4, 1981 - May 13, 1983
B. J. LEONARD AND COMPANY, INC.
May 22, 1980 - September 2, 1981
AMERICAN WESTERN SECURITIES, INC.
Primary Firm SEC Registration
EVERGREEN CAPITAL MANAGEMENT LLC
CRD#: 104931 / SEC#: 801-20248
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
Current Firm
EVERGREEN CAPITAL MANAGEMENT LLC
CRD#: 104931 / SEC#: 801-20248
Contact information
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,147 |
| AUM (Assets Under Management) | $ 5,217,923,207 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/28/2024 | ||
| 12/21/2023 |
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.
