William L. Bowman

REGULUS FINANCIAL GROUP

Chattanooga, TN 37415

Some features on this profile are disabled

CRD#: 1042545

Professional summary

William Lewis Bowman, who also goes by Bill Bowman, is a registered financial professional currently at REGULUS FINANCIAL GROUP, LLC located in Chattanooga, Tennessee.

William is registered as a RR (Registered Representative) and started their career in finance in 1982. William has worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bill Bowman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Lewis Bowman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 31, 2024 - Present

REGULUS FINANCIAL GROUP, LLC

Office #1: 2120 Northgate Park Ln Ste 205, Chattanooga, TN 37415

CRD#: 150631

Chattanooga, TN

Past

January 19, 2024 - June 4, 2024

OSAIC WEALTH, INC.

CRD#: 23131

CHATTANOOGA, TN

Past

January 27, 2020 - January 19, 2024

CRD#: 4806

BOSTON, MA

Past

March 12, 1992 - June 7, 1994

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

April 3, 1990 - March 19, 1992

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

CINCINNATI, OH

Past

December 3, 1986 - May 1, 1990

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

April 29, 1982 - January 25, 1983

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(5/31/2024)

Arizona
(5/31/2024)

Colorado
(5/31/2024)

Florida
(6/3/2024)

Georgia
(5/31/2024)

Hawaii
(6/4/2024)

Maryland
(5/31/2024)

Massachusetts
(5/31/2024)

Mississippi
(5/31/2024)

Tennessee
(5/31/2024)

Texas
(5/31/2024)

Utah
(5/31/2024)

Exams

State Security Law Exam

Series 63

Date: 1/13/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/17/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/13/1989

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

REGULUS FINANCIAL GROUP, LLC

REGULUS ADVISORS, LLC | REGULUS, LLC | REGULUS FINANCIAL GROUP, LLC

CRD#: 150631 / SEC#: , 8-68275

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2687 44th Street, Se, Suite 101, Kentwood, MI 49512

Mailing Address

2687 44th Street, Se, Suite 101, Kentwood, MI 49512

Phone number

(616) 224-2204

Established

Michigan since 12/28/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
REGAL HOLDINGS OF AMERICA, LLC	MEMBER
CARLSON, DONALD NATE MR.	PRESIDENT	2903454
LUTTRULL, KELLEY	FINANCIAL OPERATIONS PRINCIPAL / CHIEF FINANCIAL OFFICER	7363208
VEENSTRA, JILL ANNE	CHIEF COMPLIANCE OFFICER/AMLCO	3222590

Disclosures

Regulatory Event

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.

Similar Advisors

Richard Cox

OSAIC WEALTH, INC.

IAR

CHATTANOOGA, TN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William L. Bowman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Lewis Bowman's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

WOODBURY FINANCIAL SERVICES, INC.

SECURITIES AMERICA, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

MUTUAL SERVICE CORPORATION

OSAIC WEALTH, INC.

THE O.N. EQUITY SALES COMPANY

MML INVESTORS SERVICES, LLC

ALEX. BROWN & SONS INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 1/13/1987

SIE

Date: 10/1/2018

Series 7

Date: 4/17/1982

Series 24

Date: 2/13/1989

FINRA

Current Firm

REGULUS FINANCIAL GROUP, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

REGULUS FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Similar Advisors