Douglas Conoway

2000 Winton Rd. So.
Building 4A, Suite 206
Rochester, New York, 14618
Phone: 585.241.5902
Website: www.dougconoway.com
Credentials: CFP®, ChFC®
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Registry Member Since 2005
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Business Philosophy

I offer private retirement planning for Rochester area professionals. My clients are uniform in their desire for a meaningful and balanced retirement life made possible by financial security and peace of mind. As a firm, we offer exceptional services and professional experience to help you achieve your most important personal and financial goals. Our team of dedicated professionals brings the expertise you require to make this possible, and the integrity to ensure that your interests and well-being come first.

My Minimum Asset Requirements: $250,000

Types of Clients:
  • Individuals
  • Companies (Non-Pension)
  • Companies (Pension)
Types of Services:
  • Financial Planning Advice & Services
  • Investment Advice & Services
Assets Under Management:
  • Did Not Provide
Number of Clients:
  • Did Not Provide
1. What are your firm names?
  • Registered Investment Advisor

    Wealth Management Group LLC

  • Broker Dealer

    American Portfolios Financial Services Inc.

2. What is your type of RIA registration?
  • SEC
3. Are you a sole practitioner or a member of a firm or team?
  • Member Firm or Team
4. What is your relationship to your Registered Investment Advisor?
  • Owner
5. What are your years of applicable financial service experience?
  • 27 Years
6. Do you have any college degree(s)?
School
  • State University of NY Bkpt
  • Rochester Institute of Technology
Degree
  • BS Economics
  • 2 years
Major
    7. Do you belong to any industry associations?
    • Financial Planning Association
    • Financial Services Institute
    8. What is your CRD or IARD number?
    • 1363289
    9. Do you hold any active securities licenses?
    • Series 7
    • Series 6
    • Series 24
    • Series 63
    • Series 65
    10. Which categories of financial services do you provide?
    • Financial Planning Advice & Services
    • Investment Advice & Services
    11. Which planning services do you provide?
    • Financial Plans
    • Retirement Plans
    • Estate Plans
    • Other
    12. Which investment advisory services do you provide?
    • Investment Strategy & Policy
    • Risk Management
    • Rebalancing
    • Asset Allocation
    • Asset Allocation
    • Performance Reports
    • Money Manager Selection
    • Performance Reports
    13. If you make investment decisions for clients, how do you invest their assets?
    • Did Not Provide
    14. How many clients (not accounts) do you currently service?
    • Did Not Provide
    15. What amount of client assets is currently under your management or advisement?
    • Did Not Provide
    16. What is minimum fee for your planning services?
    • Did Not Provide
    17. What is your minimum asset requirement for your investment services?
    • $250,000
    18. What is your minimum net worth requirement for your planning services?
    • Did Not Provide
    19. What type of compensation do you receive for your planning services?
    • Asset Based Fees
    • Hourly Fees
    • Fixed Fees
    20. What type of compensation do you receive for your investment advisory services?
    • Asset Based Fees
    • Hourly Fees
    • Fixed Fees
    • Commission (Investment)
    • Commission (Insurance)
    21. Do you work with remote clients over the Internet and telephone?
    • Yes
    22. Do you hold any active insurance licenses?
    • Life
    • Annuity
    • Long-Term Care
    • Disability
    • Health
    23. Are you a Registered Investment Advisor or an Investment Advisor Representative?
    • Yes
    24. Do you acknowledge you are a fiduciary when you provide financial advice and services for fees?
    • Yes
    25. What states are covered by your registration(s) to sell investment advisory services?
    • Arizona
    • California
    • Colorado
    • Florida
    • Georgia
    • Kentucky
    • Massachusetts
    • Michigan
    • North Carolina
    • New Hampshire
    • New Jersey
    • New York
    • Pennsylvania
    • Rhode Island
    • South Carolina
    • Texas
    26. What states are covered by your registration(s) to sell investment and brokerage products?
    • Did Not Provide
    27. What states are covered by your registration(s) to sell insurance products?
    • Did Not Provide
    28. Do you have any compliance disclosures for the past 5 years?
    • Investment Disclosures: No
    • Insurance Disclosures: No
    29. Do you have any criminal disclosures since you became an adult?
    • Misdemeanors: No
    • Felonies: No
    30. How do investors view your ADV Part II?

    Available Upon Request

    31. What languages do you speak fluently?
    • Did Not Provide
    32. What is your primary role?
    • Did Not Provide
    33. Which investment products do you sell?
    • Mutual Funds
    • Commodities
    • REITs
    • Other
    34. Which insurance products do you sell?
    • Life
    • Variable Annuities
    • Long Term Care
    • Disability Income
    • Business
    35. Do you provide tax advice and services?
    • Yes
    36. Do you provide legal advice and services?
    • Did Not Provide
    37. Do you provide any limited engagement services?
    • Planning Only (No investment services)
    • Financial Plan Reviews
    38. What types of clients do you work with?
    • Individuals
    • Companies (Non-Pension)
    • Companies (Pension)
    39. Where does your first meeting with a prospective client take place?
    • Investor's Preference
    40. Which companies act as custodians for your clients assets?
    • Trust Company of America (TCA)
    • Pershing LLC
    • Genworth Financial
    41. What types of reports do you provide your clients and what is the frequency?
    42. General Comments:

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    Certification

    I certify all of the information in my professional profile is accurate and up-to-date.
    Advisor Name: Douglas Conoway
    Most Recent Update: May/ 8/2013