Jack L. Lowrey
Professional summary
Jack Lee Lowrey JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jack is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Jack had worked at 12 firms, which includes AMERIPRISE FINANCIAL SERVICES LLC, NBC SECURITIES INC., RAYMOND JAMES FINANCIAL SERVICES ADVISORS INC, RAYMOND JAMES FINANCIAL SERVICES INC., UBS FINANCIAL SERVICES INC., J.C. BRADFORD & CO., IFMG SECURITIES INC., INDEPENDENT FINANCIAL SECURITIES INC., SOUTHTRUST SECURITIES LLC, BARNETT INVESTMENTS INC., PRUDENTIAL EQUITY GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2016 - December 19, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
October 24, 2016 - December 19, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
October 2, 2013 - November 2, 2016
NBC SECURITIES, INC.
October 2, 2013 - November 2, 2016
NBC SECURITIES, INC.
January 25, 2010 - October 2, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 6, 2009 - October 2, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 29, 2004 - October 13, 2009
NBC SECURITIES, INC.
July 23, 2002 - October 13, 2009
NBC SECURITIES, INC.
August 14, 2000 - July 29, 2002
UBS FINANCIAL SERVICES INC.
August 14, 2000 - July 29, 2002
UBS FINANCIAL SERVICES INC.
March 13, 2000 - August 14, 2000
J.C. BRADFORD & CO.
August 3, 1998 - April 2, 1999
IFMG SECURITIES, INC.
February 18, 1997 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
February 7, 1997 - August 4, 1998
SOUTHTRUST SECURITIES, LLC
September 5, 1989 - February 27, 1997
BARNETT INVESTMENTS, INC.
March 1, 1989 - August 30, 1989
PRUDENTIAL EQUITY GROUP, LLC
March 28, 1984 - March 23, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
