Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Timothy Conway is a financial professional with over 20 years of experience in the industry. Richard has a strong background in Investment Banking and Operations. Richard is currently registered with Cantor Fitzgerald & Co. in Connecticut and New York and holds a Series 7, Series 63, SIE, Series 79TO, and Series 99TO. Previously, Richard worked at Jefferies LLC and UBS Securities LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
CT
11/05/2018 - Present
Cantor Fitzgerald & Co. (DARIEN CT)
NY
12/16/2009 - 03/20/2018
JEFFERIES LLC (NEW YORK NY)
CT
05/22/2002 - 09/02/2008
UBS SECURITIES LLC (STAMFORD CT)
BC
Issued 06/03/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 03/20/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/2002
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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