Linda A. Rowe
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.
Linda Acheson Rowe, who also goes by Linda A Martyn, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1985. Linda had worked at 7 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2011 - July 31, 2012
LUCIA SECURITIES, LLC
April 22, 2010 - August 8, 2012
LUCIA CAPITAL GROUP
November 9, 2007 - December 5, 2011
FIRST ALLIED SECURITIES, INC.
April 20, 2004 - March 16, 2006
RJL ADVISORS
September 30, 2002 - November 13, 2007
SECURITIES AMERICA, INC.
December 9, 1999 - November 10, 2010
RAYMOND J. LUCIA COMPANIES, INC.
July 8, 1997 - September 30, 2002
THE ADVISORS GROUP, INC.
July 24, 1985 - September 30, 2002
THE ADVISORS GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LUCIA SECURITIES, LLC
CRD#: 37179 / SEC#: , 8-47643
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
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.
