Ross T. Bowler

2ND MARKET CAPITAL ADVISORY

MADISON, WI 53717

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CRD#: 1233866

Professional summary

Ross Thomas Bowler is a registered financial advisor currently at 2ND MARKET CAPITAL ADVISORY CORP. located in Madison, Wisconsin.

Ross is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Ross has worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ross Thomas Bowler's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 20, 1992 - Present

2ND MARKET CAPITAL ADVISORY CORP.

Office #1: 650 N. High Point Road, Madison, WI 53717

RIA

CRD#: 111562

MADISON, WI

Past

April 16, 1990 - December 17, 2003

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, MO

Past

January 5, 1989 - April 19, 1990

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

Past

June 11, 1986 - January 23, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

January 25, 1984 - June 10, 1986

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Indiana
(6/29/2005)

IAR

Texas
(4/12/2012)

IAR

Wisconsin
(2/20/1992)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/3/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/21/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/30/1984

General Securities Principal Examination

Current Firm

2ND MARKET CAPITAL ADVISORY CORP.

CRD#: 111562 / SEC#:

California

Registered Investment Advisory firm - (4/17/2014 Terminated)

Illinois

Registered Investment Advisory firm - (12/31/2003 Terminated)

Indiana

Registered Investment Advisory firm - (6/23/2005 Approved)

Missouri

Registered Investment Advisory firm - (12/31/2025 Terminated)

Texas

Registered Investment Advisory firm - (4/12/2012 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (2/20/1992 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

650 N. High Point Road, Madison, WI 53717

Mailing Address

Phone number

(608) 833-7793

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	39
AUM (Assets Under Management)	$ 40,352,357

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.

Contact information

xxxxx@xxxx.xxx

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Ross T. Bowler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ross Thomas Bowler's CRS (Customer Relationship Summary).

Certified licenses

Experience

2ND MARKET CAPITAL ADVISORY CORP.

FFP SECURITIES, INC.

INVESTACORP, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

SOUTHMARK FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/3/1984

Series 7

Date: 1/21/1984

Series 24

Date: 7/30/1984

Current Firm

2ND MARKET CAPITAL ADVISORY CORP.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

2ND MARKET CAPITAL ADVISORY CORP.

TRUST BUT VERIFY

Contact information

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