Arthur W. Tower
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Arthur Wilbur Tower III, who also goes by Arthur Wilbur Tower, Bud Tower, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1982. Arthur had worked at 2 firms and has passed the Series 63, Series 16, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 1990 - April 30, 1999
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
December 16, 1985 - May 2, 1988
QUALICORP FINANCIAL, INC.
July 23, 1982 - October 17, 1985
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
CRD#: 414 / SEC#: , 8-16379
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOWARD WEIL FINANCIAL , INC. | STOCKHOLDER | |
| LEGG MASON, INC. | STOCKHOLDER | |
| BRINKLEY, JAMES WELLONS | DIRECTOR | 30719 |
| LEVERT, JOHN BERTELS | CEO AND DIRECTOR | 307678 |
| MASON, RAYMOND ADAMS | DIRECTOR | 322297 |
| TABER, EDWARD ALBERT III | DIRECTOR | 1778866 |
| WALKER, WILLIAM HENRY | PRESIDENT AND DIRECTOR | 457409 |
| WEAVER, BARBARA LITTLE | CCO / LLO | 845541 |
| WESSELL, YOLANDA BOLANOS | CFO / COO | 2217636 |
Disclosures
| Regulatory Event | 20 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
