PF
Paul L. Fowler
MOORS & CABOT
Annapolis, MD 21403
Some features on this profile are disabled
CRD#: 1092715
PF
Professional summary
Paul Lawrence Fowler JR, who also goes by Paul Lawrence (jr) Fowler, is a registered financial advisor currently at MOORS & CABOT, INC. located in Annapolis, Maryland.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Paul has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul Lawrence (jr) Fowler
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.
TOURING HONG KONG, INV RELATED, DAVIDSONVILLE, MD, 100% OWNERSHIP, START 4/6/2007, 10 HOURS PER MONTH, ZERO DURING TRADING, FEEDING CARING FOR RACE HORSE. FOAL#1 TBD, INV RELATED, DAVIDSONVILLE, MD, 100% OWNERSHIP, START 2/15/2018, 10 HOURS PER MONTH, ZERO DURING TRADING, FEEDING AND CARING FOR RACE HORSE. INTREPID CITIZEN, INV RELATED, DAVIDSONVILLE, MD, 100% OWNERSHIP, START 9/10/2010, 10 HOURS PER MONTH, ZERO DURING TRADING, FEEDING CARING FOR RACE HORSE. BROKEN BRIDLE, INV RELATED, DAVIDSONVILLE, MD, 100% OWNERSHIP, START 9/15/2013, 10 HOURS PER MONTH, ZERO DURING TRADING, FEEDING CARING FOR RACE HORSE. HONG KONG TOUR, INV RELATED, DAVIDSONVILLE, MD, 100% OWNERSHIP, START 3/10/2008, 10 HOURS PER MONTH, ZERO DURING TRADING, FEEDING CARING FOR RACE HORSE. FOAL#2 TBD, INV RELATED, DAVIDSONVILLE, MD, 100% OWNERSHIP, START 2/25/2018, 10 HOURS PER MONTH, ZERO DURING TRADING, FEEDING AND CARING FOR RACE HORSE.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Lawrence Fowler JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Lawrence Fowler JR's 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®
NoneExperience
Current
April 23, 2019 - Present
MOORS & CABOT, INC.
Office #1: 410 Severn Ave Suite 410, Annapolis, MD 21403RIA
BD
CRD#: 594
Annapolis, MD
Current
April 17, 2019 - Present
MOORS & CABOT, INC.
Office #1: 410 Severn Ave Suite 410, Annapolis, MD 21403RIA
BD
CRD#: 594
Annapolis, MD
Past
August 12, 2016 - March 11, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WASHINGTON, DC
Past
August 12, 2016 - March 11, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WASHINGTON, DC
Past
February 19, 2009 - August 23, 2016
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WASHINGTON, DC
Past
February 11, 2009 - August 23, 2016
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WASHINGTON, DC
Past
April 2, 2007 - February 13, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
WASHINGTON, DC
Past
April 2, 2007 - February 13, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
WASHINGTON, DC
Past
September 22, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
WASHINGTON, DC
Past
November 5, 1999 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
WASHINGTON, DC
Past
January 19, 1983 - November 9, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Alabama(7/23/2024)
RR
Colorado(7/1/2019)
RR
Delaware(6/13/2019)
RR
District of Columbia(4/24/2019)
RR
Florida(6/14/2019)
RR
Louisiana(7/1/2024)
RR
Maryland(4/23/2019)
IAR
Maryland(9/13/2022)
RR
Michigan(5/14/2021)
RR
New Hampshire(11/14/2022)
RR
New Jersey(6/13/2019)
RR
New Mexico(4/24/2019)
RR
North Carolina(7/31/2019)
RR
Ohio(8/5/2019)
RR
Pennsylvania(5/29/2019)
RR
South Carolina(4/26/2019)
RR
Texas(7/22/2019)
RR
Utah(4/30/2019)
RR
Virginia(4/23/2019)
IAR
Virginia(4/23/2019)
RR
West Virginia(6/27/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Federal Street 19th Floor, Boston, MA 02110
Mailing Address
One Federal Street 19th Floor, Boston, MA 02110
Phone number
(617) 426-0500
Established
Massachusetts since 07/05/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
121
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
