Stephen W. Lowther
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.
Stephen Wayne Lowther, who also goes by Stephen W Lowther, Steve Lowther, Steven Wayne Lowther, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 15 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2012 - June 29, 2015
CAPE SECURITIES INC.
October 25, 2011 - November 30, 2011
ALLIED BEACON PARTNERS, INC.
November 21, 2009 - September 6, 2011
FIRST UNION SECURITIES, INC.
February 21, 2008 - September 4, 2009
WELLS FARGO CLEARING SERVICES, LLC
February 20, 2008 - September 4, 2009
WELLS FARGO CLEARING SERVICES, LLC
April 5, 2007 - March 5, 2008
MORGAN KEEGAN & COMPANY, LLC
February 13, 2007 - March 5, 2008
MORGAN KEEGAN & COMPANY, LLC
November 15, 2005 - February 20, 2007
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
October 25, 2005 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
February 11, 2005 - November 7, 2005
LOWTHER & CO., INC.
January 23, 2004 - December 31, 2004
LOWTHER & CO., INC.
August 14, 2003 - December 31, 2003
LOWTHER & CO., INC.
July 12, 1999 - October 4, 2005
TRIAD ADVISORS LLC
March 9, 1998 - June 30, 1999
MORGAN STANLEY DW INC.
December 14, 1994 - March 10, 1998
PRUDENTIAL EQUITY GROUP, LLC
July 3, 1991 - December 5, 1994
IDS LIFE INSURANCE COMPANY
July 3, 1991 - December 5, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
June 11, 1984 - July 17, 1991
METROPOLITAN LIFE INSURANCE COMPANY
June 11, 1984 - July 17, 1991
MSI FINANCIAL SERVICES, INC.
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
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
