Lewis E. Bowen
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.
Lewis Edwin Bowen was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1984. Lewis had worked at 8 firms and has passed the Series 63, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2011 - September 9, 2013
FROST BROKERAGE SERVICES, INC.
June 13, 2003 - February 8, 2011
1ST GLOBAL ADVISORS INC
April 8, 2003 - February 8, 2011
1ST GLOBAL CAPITAL CORP.
July 3, 2002 - March 26, 2003
NEW ENGLAND SECURITIES
January 8, 2002 - March 26, 2003
NEW ENGLAND SECURITIES
December 17, 1999 - December 17, 2001
HIMCO DISTRIBUTION SERVICES COMPANY
September 28, 1998 - December 5, 1999
VOYA FINANCIAL ADVISORS, INC.
October 15, 1993 - September 29, 1998
VOYA FINANCIAL PARTNERS, LLC
October 8, 1984 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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
FROST BROKERAGE SERVICES, INC.
CRD#: 17465 / SEC#: , 8-35285
Contact information
FINRA licenses (48 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 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.
