Richard C. Bowman
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.
Richard Conway Bowman, who also goes by Richard C Bowman, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 10 firms and has passed the Series 63, SIE, Series 7 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
June 9, 2010 - November 29, 2018
FUNDS PLACEMENT GROUP, LLC
May 14, 2008 - April 8, 2009
FUNDS PLACEMENT GROUP, LLC
April 18, 2007 - May 15, 2008
WILLIAM BLAIR
August 18, 2006 - April 18, 2007
HITHERLANE PARTNERS, LLC
January 26, 2006 - April 21, 2006
CSP SECURITIES, LP
December 19, 2000 - March 20, 2001
OFFROAD SECURITIES, INC.
July 7, 1998 - December 4, 2000
STEPHENS
June 28, 1989 - March 13, 1990
SHURGARD REALTY ADVISORS, INC.
March 2, 1988 - March 28, 1989
TOMLIN SECURITIES, INC.
February 26, 1986 - September 8, 1986
TRANSAMERICA FUND DISTRIBUTORS, INC.
July 26, 1984 - November 28, 1984
SEI INVESTMENTS DISTRIBUTION CO.
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
FUNDS PLACEMENT GROUP, LLC
CRD#: 145840 / SEC#: , 8-67755
Contact information
Documents
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.
