William H. Lowell
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.
William Hamilton Lowell, who also goes by Bill Lowell, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 4, Series 28, Series 53, Series 24 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
August 29, 2019 - May 11, 2020
CRESCENT ADVISOR GROUP, INC.
January 18, 2019 - March 25, 2020
CRESCENT SECURITIES GROUP, INC.
January 2, 2004 - September 13, 2019
LOWELL & COMPANY, INC.
September 19, 1989 - March 3, 2020
LOWELL & COMPANY, INC.
May 1, 1989 - September 25, 1989
MAY FINANCIAL CORPORATION
July 21, 1983 - May 11, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CRESCENT ADVISOR GROUP, INC.
CRD#: 115974 / SEC#: 801-127131
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 28
Date: 8/30/1991
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 7/15/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CRESCENT ADVISOR GROUP, INC.
CRD#: 115974 / SEC#: 801-127131
Contact information
SEC notice filing (7 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 467 |
| AUM (Assets Under Management) | $ 282,987,504 |
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.
