James M. Lowe
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.
James Mark Lowe, who also goes by Mark Lowe, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 7 firms and has passed the Series 66, Series 63, SIE 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 4, 2017 - October 1, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 2, 2014 - December 2, 2016
CETERA INVESTMENT ADVISERS LLC
June 2, 2014 - December 2, 2016
CETERA INVESTMENT SERVICES LLC
October 3, 2012 - May 2, 2014
LPL FINANCIAL LLC
July 2, 2012 - May 2, 2014
LPL FINANCIAL LLC
April 5, 2005 - June 28, 2007
COMERICA SECURITIES
July 21, 2004 - June 28, 2007
COMERICA SECURITIES
July 6, 1993 - November 17, 1994
NATIONSSECURITIES
April 22, 1992 - July 6, 1993
MORGAN STANLEY DW 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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
