AdvisorOS Directory
Claim Profile
Unclaimed Profile
JC

James B Conway

LUMBARD & KELLNER, LLC·HOLLIS, New Hampshire
SIE, Series 7, Series 66CFAClean record20 years registeredLUMBARD & KELLNER, LLC
5 HUTCHINGS DRIVE, HOLLIS, NH 03049-0749CRD# 5019263Firm CRD# 117196

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
James B Conway · HOLLIS, NH
Registration
CRD #5019263 · LUMBARD & KELLNER, LLC · 20 years registered
Brand Profile
Not yet started
01

Career History

LUMBARD & KELLNER, LLC
Oct 2020 – present
FC ADVISORS
Jul 2015 – Oct 2020
WALNUT CREEK, CA
PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
Apr 2006 – Jul 2015
BOSTON, MA
PIONEER INVESTMENT MANAGEMENT, INC.
Dec 2005 – Apr 2006
BOSTON, MA
02

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 66
Registration record
First registered · December 9, 2005
Years registered · 20
Professional designation · CFA
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
LUMBARD & KELLNER, LLC
CRD 117196 · SEC 801-61888
AUM
$351M
Regulatory assets under management
Employees
4
113 client accounts
Services offered by LUMBARD & KELLNER, LLC
Per Form ADV
Portfolio management (individuals)
Selection of other advisers
Client types served by the firm
Per Form ADV
Individuals
View all advisors at LUMBARD & KELLNER, LLC →
Introduction

Speak with James

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if James is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in HOLLIS?

Browse all registered financial advisors in HOLLIS, New Hampshire or claim this profile if it's yours.

Browse HOLLIS AdvisorsAre you this advisor? Claim profile
05

Frequently Asked Questions

What services does James B Conway offer?
James B Conway specializes in Investment Management, Wealth Management, Fee-Only Advisory. Contact their office in HOLLIS, New Hampshire for a consultation.
What are James B Conway's credentials?
James B Conway holds the following professional designations: CFA. These credentials require rigorous education, examination, and ongoing continuing education.
Where is James B Conway located?
James B Conway is based in HOLLIS, New Hampshire, working with LUMBARD & KELLNER, LLC. Their office serves clients in the HOLLIS metropolitan area and surrounding communities.
How does James B Conway charge for services?
James B Conway's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is LUMBARD & KELLNER, LLC?
LUMBARD & KELLNER, LLC has approximately 4 employees and manages $351M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
Not sure what to look for in an advisor?
Try our free Advisor Match Quiz →

Other Advisors at LUMBARD & KELLNER, LLC

John Ashmore Lumbard
HOLLIS, NH
Drew Dawson Kellner
HOLLIS, NH

Browse by Specialty

Investment ManagementRetirement PlanningWealth ManagementFinancial PlanningFee-Only AdvisoryFinancial Education
Nearby cities in New Hampshire
PORTSMOUTH (75)BEDFORD (26)CONCORD (22)MANCHESTER (12)HANOVER (10)EXETER (7)NEW LONDON (7)WOLFEBORO (7)KEENE (5)LEBANON (5)
City Guides
PORTSMOUTH GuideBEDFORD GuideCONCORD GuideMANCHESTER GuideHANOVER Guide
Research
Advisor Fees in New HampshireNational Fee Analysis
Request removal of this profile