Philip J. Conway
Professional summary
Philip John Conway, who also goes by Philip J Conway, is a registered financial professional currently at PAULSON INVESTMENT COMPANY LLC located in St. Petersburg, Florida.
Philip is registered as a RR (Registered Representative) and started their career in finance in 2023. Philip has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Philip John Conway's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 8, 2024 - Present
PAULSON INVESTMENT COMPANY LLC
Office #1: 150 Second Ave. N. Suite 1550, St. Petersburg, FL 33701March 23, 2023 - June 30, 2023
E*TRADE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/8/2024)
(4/8/2024)
(4/8/2024)
(2/10/2025)
(4/8/2024)
(7/3/2024)
(4/8/2024)
(2/27/2025)
(5/1/2025)
(4/8/2024)
Exams
Series 7TO
Date: 3/23/2023
General Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
Red Flags
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