Kenneth L. Bowman
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.
Kenneth Loftis Bowman was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1997. Kenneth had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2017 - December 31, 2018
BRIARCLIFF ROAD ADVISORS, LLC
September 15, 2011 - July 9, 2018
CARL DOMINO INC.
July 1, 2003 - April 26, 2011
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - April 26, 2011
WELLS FARGO CLEARING SERVICES, LLC
November 25, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
November 18, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
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
BRIARCLIFF ROAD ADVISORS, LLC
CRD#: 285110 / SEC#:
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Kansas | ERA - Withdrawn - Failed to Renew | 12/31/2018 |
| Texas | ERA - Withdrawn - Failed to Renew | 12/31/2018 |
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.
