Kenneth T. Lowman
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.
Kenneth Troy Lowman was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1985. Kenneth had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 1995 - July 25, 2000
GRUNTAL & CO., L.L.C.
December 22, 1994 - March 20, 1995
FAIRCHILD FINANCIAL GROUP, INC.
January 25, 1993 - October 10, 1994
GLOBAL CAPITAL SECURITIES CORPORATION
July 8, 1992 - January 25, 1993
KOBER FINANCIAL CORP.
January 2, 1987 - July 9, 1992
J. W. GANT & ASSOCIATES, INC.
September 29, 1986 - January 2, 1987
MICHELIN AND COMPANY, INC.
February 11, 1986 - September 29, 1986
THE STUART-JAMES COMPANY, INCORPORATED
August 20, 1985 - September 3, 1985
THE STUART-JAMES COMPANY, INCORPORATED
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
GRUNTAL & CO., L.L.C.
CRD#: 372 / SEC#: , 8-31022
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRUNTAL FINANCIAL, L.L.C. | INTEREST HOLDER | |
| BRADLEY, RALPH HAMILTON JR | DIRECTOR, EXECUTIVE VICE PRESIDENT | 2802958 |
| COHEN, DONALD N | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | |
| JOHNSON, ROSEMARY | DIRECTOR, EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER | 1515631 |
| RITTEREISER, ROBERT PETER | DIRECTOR, CHAIRMAN, CEO | 400305 |
Disclosures
| Regulatory Event | 34 |
| Arbitration | 81 |
| Bond | 2 |
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.
