Julie K. Dowell
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.
Julie Kay Dowell was a registered financial professional .
Julie is a previously registered financial professional and started their career in finance in 1983. Julie had worked at 4 firms and has passed the Series 65, Series 63, Series 7 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
September 20, 2013 - July 12, 2021
LNW
February 15, 2011 - February 14, 2012
PACIFIC WEST SECURITIES, INC.
February 4, 2011 - November 7, 2013
APPROPRIATE BALANCE FINANCIAL SERVICES INC
July 15, 1997 - February 17, 2009
CHARLES SCHWAB & CO., INC.
August 23, 1983 - February 17, 2009
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
LNW
CRD#: 113400 / SEC#: 801-60345
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 8
Date: 12/2/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LNW
CRD#: 113400 / SEC#: 801-60345
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,463 |
| AUM (Assets Under Management) | $ 4,526,284,775 |
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.
