JC
John Conway
CONWAY PARTNERS
Sunnyvale, CA 94086
Some features on this profile are disabled
CRD#: 7834416
JC
Professional summary
John Conway is a registered financial advisor currently at CONWAY PARTNERS located in Sunnyvale, California.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. John has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
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.
Restaurant owner
CRS (Client Relationship Summary) - RIA
Click below to view John Conway's 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®
NoneExperience
Current
November 17, 2023 - Present
CONWAY PARTNERS
Office #1: 438 S Murphy Ave, Sunnyvale, CA 94086RIA
CRD#: 319013
Sunnyvale, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CP
CONWAY PARTNERS
CONWAY PARTNERS | CONWAY PARTNERS MANAGEMENT, LLC
CRD#: 319013 / SEC#: 801-123446
RIA
Registered Investment Advisory firm - (3/11/2022 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(11/17/2023)
Exams
Current Firm
CP
CONWAY PARTNERS
CONWAY PARTNERS | CONWAY PARTNERS MANAGEMENT, LLC
CRD#: 319013 / SEC#: 801-123446
RIA
Registered Investment Advisory firm - (3/11/2022 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
27 West 20th Street Ste 704, New York, NY 10011
Mailing Address
Phone number
(775) 971-8392
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 168 |
| AUM (Assets Under Management) | $ 124,187,036 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/20/2024 | ||
| 05/30/2023 | ||
| 05/25/2023 |
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.
