John F. Dowling
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.
John Francis Dowling JR, who also goes by John Francis Jr Dowling, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 2 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
March 27, 1990 - December 31, 1995
POLARIS FINANCIAL SERVICES, INC.
March 12, 1986 - May 24, 1990
PRUCO SECURITIES, 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
POLARIS FINANCIAL SERVICES, INC.
CRD#: 14521 / SEC#: , 8-29480
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE POLARIS GROUP, INC. | PARENT | |
| JEFFERSON PILOT SECURITIES CORPORATION | STOCKHOLDER | 3870 |
| ANGARELLA, RONALD RICHARD | CHAIRMAN, PRESIDENT | 1785580 |
| ARMSTRONG, DAVID EDWARD | ASSISTANT VICE PRESIDENT, MARKETING | 2465424 |
| BOOTH, DAVID KENNETH | VICE PRESIDENT, MARKETING | 2030529 |
| BOULTER, WARREN THOMAS | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 26914 |
| CLIFFORD, LISA SCHLOSSER | ASSISTANT VICE PRESIDENT, COMPLIANCE | 1745774 |
| HARDIMAN, CAROL ROBINSON | VICE PRESIDENT, ADMINISTRATION | 831061 |
| LEASE, SHARI JANE | SECRETARY | 2631744 |
| MURRAY, MICHAEL FRANCIS | ASSISTANT VICE PRESIDENT, INVESTMENT OPERATIONS | 2074275 |
| WALCZAK, ROBERT JOSEPH | OFFICER FOR INSURANCE PURPOSES | 456804 |
| WESTON, JOHN ARTHUR | TREASURER | 1244146 |
| WILBUR, DONNA MANNING | ASSISTANT TREASURER | 2475466 |
Disclosures
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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