Gary D. Cowell
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.
Gary Donald Cowell, who also goes by Gary D Cowell, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1982. Gary had worked at 6 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2000 - September 25, 2002
BLUE VASE SECURITIES, LLC
January 25, 1995 - December 4, 2000
INVESTORS CAPITAL CORP.
November 5, 1993 - December 20, 1994
INVESTACORP, INC.
June 5, 1989 - March 4, 1993
SECURITIES AMERICA, INC.
August 19, 1987 - June 16, 1989
PRUCO SECURITIES, LLC.
September 20, 1982 - July 23, 1987
FORESTERS FINANCIAL SERVICES, 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
BLUE VASE SECURITIES, LLC
CRD#: 46765 / SEC#: , 8-51528
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLUE VASE HOLDINGS, LLC | LIMITED LIABILITY COMPANY | |
| DOOLEY, SCOTT TIMOTHY | SUPERVISING TRADING PRINCIPAL / MEMBER | 4225054 |
| FISHER, BRIAN EDWARD | VICE PRESIDENT, SECRETARY, MUNICIPAL PRINCIPAL, OPERATIONS PRINCIPAL / MANAGER | 3253170 |
| GERWING, TIMOTHY ALAN | IT DEPT / MEMBER | 4594031 |
| HOLMES, SUSAN LOUISE | CHIEF COMPLIANCE OFFICER, FINOP, SENIOR OPTIONS PRINCIPAL / MANAGER | 2447692 |
| LAUGHLIN, WILLIAM HAROLD III | VICE PRESIDENT SALES AND MARKETING | 1527661 |
| MCCORMICK, CLIFFORD MICHAEL | PRESIDENT , CEO / GENERAL MANAGER | 1566236 |
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.
