John B. Mowell
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 Byard Mowell, who also goes by John Byard (jr) Mowell, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 1999 - April 13, 2012
MOWELL FINANCIAL GROUP, INC.
April 6, 1994 - June 7, 1999
PRUDENTIAL EQUITY GROUP, LLC
May 5, 1992 - April 8, 1994
UBS FINANCIAL SERVICES INC.
January 17, 1991 - February 28, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 1983 - January 7, 1991
MOWELL FINANCIAL GROUP, 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
MOWELL FINANCIAL GROUP, INC.
CRD#: 8657 / SEC#: , 8-25866
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCE, CAROLINE MENUET | SEC/TREASURER VP OPERATIONS, CCO | 4973366 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
