TIMOTHY MICHAEL CONWAY is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 3700 CRESTWOOD PKWY STE 140, DULUTH, GA, 30096.
TIMOTHY MICHAEL CONWAY has worked at CETERA ADVISORS LLC since June 11, 2010
Disclosure History
TIMOTHY MICHAEL CONWAY has 1 Disclosure Event(s).
Date: October 30, 2009 Category: Employment Separation After Allegations Firm Name: WELLS FARGO ADVISORS Termination Type: Discharged Allegations: FAILED TO ADHERE TO BANK POLICIES AND PROCEDURES REGARDING CONFIDENTIALITY OF BANK CUSTOMER INFORMATION Broker Comment: THE ALLEGED EVENTS SURROUNDING SEPARATION HAD NOTHING TO DO WITH INVESTMENT CUSTOMERS OR THEIR INFORMATION. FURTHERMORE, IT IS MY UNDERSTANDING THAT NO ONE FROM THE FORMER FIRM HAS BEEN ABLE TO SIGHT A SPECIFIC POLICY, REGARDING THIS INSTANCE, THAT WAS VIOLATED. ALLEGATIONS WERE DISPUTED THROUGH WACHOVIA BANK'S INTERNAL DISPUTES PROCESS. WELL FARGO ADVISORY SERVICES WERE NOT INVOLVED IN THAT PROCESS.
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