James Conway has held the title Member at Lumbard & Kellner since October 2021, is a control person of the firm and directly owns between 10% and 25% of it. James Conway holds a Bachelor's degree in finance from Georgetown University.
Lumbard & Kellner, LLC is a Hollis, NH firm with $444M under management, 321 clients and 3 advisers in one office, as of its March 2026 filing.
Jay Conway is Managing Member and Portfolio Manager of Lumbard & Kellner, LLC, based in Hollis, New Hampshire. He joined the firm in 2020 after serving as a portfolio manager and SEC-registered investment adviser at FC Advisors in San Francisco for 5 years. He started his career in financial services at Pioneer Investments in 2005 as a mutual fund wholesaler.
James Conway’s longest registration was 9 years at Pioneer Institutional Asset Management, Inc. (2006–2015). Before joining Lumbard & Kellner in 2020, James Conway was registered through FC Advisors and Pioneer Institutional Asset Management, Inc.
- Lumbard & Kellner, LLCCurrent– present · 6 yearsHollis, NH · Adviser representative · Firm CRD 117196
- FC Advisors– · 5 yearsWalnut Creek, CA · Adviser representative · Firm CRD 168050
- Pioneer Institutional Asset Management, Inc.– · 9 yearsBoston, MA · Adviser representative · Firm CRD 138756
- Pioneer Investment Management, Inc.– · under a yearBoston, MA · Adviser representative · Firm CRD 107719
Professional designations
Listed by Lumbard & Kellner
- Chartered Financial Analyst (CFA®)
Investment adviser representative registrations
James Conway is registered as an investment adviser representative in New Hampshire, since October 2020.
- New HampshireSince 14 October 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 8 December 2005 |
| Series 7 | General Securities Representative Examination | 2 November 2005 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James B Conway
- CRD
- 5019263
- Firm
- Lumbard & Kellner · CRD 117196
- Role
- Member
- Office
- 5 HUTCHINGS DRIVE, Hollis, NH 03049-0749
- Registration
- Investment adviser registration
- In the industry since
- December 2005
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- lumbard.com
Where does James Conway work?
James Conway has held the title Member at Lumbard & Kellner, LLC since October 2021, and is a control person of the firm.
Is James Conway a financial advisor?
Yes. James Conway has a current investment-adviser registration in New Hampshire, through Lumbard & Kellner since October 2020.
How many years of experience does James Conway have?
James Conway has 20 years in the financial industry, since December 2005, across 4 adviser firms.
What exams has James Conway passed?
James Conway has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in November 2005. FINRA credited James Conway with the SIE, which began in October 2018.
Where did James Conway work before Lumbard & Kellner?
Before Lumbard & Kellner, James Conway was registered through FC Advisors, July 2015 to October 2020; Pioneer Institutional Asset Management, Inc., April 2006 to July 2015; Pioneer Investment Management, Inc., December 2005 to April 2006.
Where is James Conway based?
James Conway’s registered office is in Hollis, NH.
Is James Conway registered with FINRA?
No. James Conway has no current broker registration.
Is James Conway a CFA charterholder?
Lumbard & Kellner lists James Conway with the CFA credential (“Chartered Financial Analyst (CFA®)”) on its website. CFA Institute confirms certification status.
How can I verify James Conway’s record?
Search CRD 5019263 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Conway’s full registration record.
