Jeffrey A. Dowd
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.
Jeffrey Allen Dowd, who also goes by Jeff Dowd, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1986. Jeffrey had worked at 5 firms and has passed the Series 63, SIE 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
November 16, 2015 - December 31, 2017
THE LEADERS GROUP, INC.
December 2, 2009 - December 5, 2013
KESTRA INVESTMENT SERVICES, LLC
March 30, 2005 - February 8, 2007
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
August 16, 2002 - June 11, 2003
LOCUST STREET SECURITIES, INC.
August 14, 1996 - August 29, 2001
THE LEADERS GROUP, INC.
October 2, 1986 - December 31, 1991
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 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.
