Home  >  BrightScope Advisor Pages  >  Daniel Ernest Conway

help text

Daniel Ernest Conway

Firm:
Conway Capital Management, Inc.
PRESIDENT & CEO, CHIEF COMPLIANCE OFFICER
Type: RIA
Contact Advisor
Edit Profile

Description

Daniel Conway is an executive and is sole owner of Conway Capital Management, Inc., based in Studio City, CA. Daniel has held an industry securities registration for 19 years and is subject to SEC oversight.

BrightScope Advisor Metrics

help text

Answers and Guides

help text
0 Answers and 0 Financial Guides

Top Answers

Daniel Ernest Conway has not answered any questions on Financial Q&A.

Top Guides

Daniel Ernest Conway has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

help text
ownership pie chart
High Net Worth Individuals
Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

help text
Employer Years Dates
Conway Capital Management, Inc. 8 years, 6 months Dec 2004 - Present
Salomon Smith Barney Inc. 11 years, 5 months Jul 1993 - Dec 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 01/27/2006, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

help text
Regulator
SEC
FINRA
License Status
Registered
Not registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
01/27/2006
01/27/2006
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

help text
Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 03/07/1997
Uniform Securities Agent State Law Examination Series 63 02/01/1994
General Securities Representative Examination Series 7 01/03/1994

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Other: CONSULTING FEES