Brad A. Dowell
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.
Brad Allen Dowell, who also goes by Brad Allen Dowell, Brad Dowell, was a registered financial advisor .
Brad is a previously registered financial advisor and started their career in finance in 1984. Brad had worked at 12 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 28, Series 4 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
October 20, 2020 - March 24, 2023
NTB FINANCIAL CORPORATION
January 11, 2006 - July 17, 2020
FORTA FINANCIAL GROUP, INC.
February 24, 2004 - December 2, 2005
CEDRUS
June 6, 2003 - December 2, 2005
J. SCOTT SECURITIES CORP.
June 25, 2002 - November 4, 2002
CAPWEST SECURITIES, INC.
January 1, 1999 - November 15, 2002
BLAKE STREET ADVISORS LLC
July 22, 1998 - June 21, 2002
BLAKE STREET SECURITIES LLC
April 2, 1996 - September 23, 1998
LAIDLAW GLOBAL SECURITIES, INC.
July 12, 1994 - March 28, 1996
GLOBAL CAPITAL SECURITIES CORPORATION
October 25, 1993 - June 26, 1994
SCHNEIDER SECURITIES, INC.
September 11, 1990 - October 8, 1993
PAULSON INVESTMENT COMPANY LLC
November 20, 1984 - October 18, 1990
BLINDER, ROBINSON & CO., 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 28
Date: 4/5/2001
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
NTB FINANCIAL CORPORATION
CRD#: 7425 / SEC#: 801-65853, 8-21884
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN, MICHAEL JOHN | SHAREHOLDER | 1437315 |
| PETRELLI, ANTHONY BENEDICT | SHAREHOLDER | 809169 |
| ROESENER, REGINA LEE | SHAREHOLDER | 1937783 |
| CAMPEN, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER | 1959903 |
| DOWELL, BRAD ALLEN | CHIEF FINANCIAL OFFICER FINOP, PRINCIPAL FINANCIAL OFFICER | 1308189 |
Regulatory assets under management
| Total Number of Accounts | 724 |
| AUM (Assets Under Management) | $ 250,252,265 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
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.
