David S. Bowers
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.
David Stuart Bowers was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 24, Series 27 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2016 - November 7, 2016
WMSI SECURITIES LLC
May 26, 2011 - January 5, 2022
SS&C MARKET SERVICES, LLC
September 29, 2005 - July 6, 2009
FRANKLIN DISTRIBUTORS, LLC
November 3, 1987 - November 30, 2005
LEGG MASON WOOD WALKER, INCORPORATED
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
May 24, 1983 - October 31, 1987
LEGG MASON WOOD WALKER, INCORPORATED
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 10/3/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WMSI SECURITIES LLC
CRD#: 134293 / SEC#: , 8-66829
Contact information
Documents
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.
