Spencer D. Mcgowan

MCGOWAN GROUP ASSET MANAGEMENT

DALLAS, TX 75201

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CRD#: 1546977

Professional summary

Spencer Dean Mcgowan, CIMA® is a registered financial advisor currently at MCGOWAN GROUP ASSET MANAGEMENT, INC. located in Dallas, Texas.

Spencer is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Spencer has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

MCGOWAN PUBLISHING COMPANY, INC., 3641 HAYNIE AVE., DALLAS, TX 75205, FAMILY/CLOSELY HELD BUSINESS, COMPANY OWNS THE INTERNATIONAL BOND EXCHANGE WEBSITE AND NETWORTHRADIO (TRADEMARK FOR BROADCASTS ON KLIF),PRESIDENT & PRIMARY SHAREHOLDER, TIME DEVOTED VARIES, LITTLE TIME DURING BUSINESS HOURS, NON INVESTMENT RELATED, START 1997. PRESIDENT OF MCGOWAN GROUP ASSET MANAGEMENT, AN UNAFFILIATED SEC REGISTERED RIA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Spencer Dean Mcgowan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Current

August 6, 2010 - Present

MCGOWAN GROUP ASSET MANAGEMENT, INC.

Office #1: 200 Crescent Court, #657, Dallas, TX 75201

RIA

CRD#: 154127

DALLAS, TX

Past

August 3, 2010 - December 31, 2014

SPIRE SECURITIES, LLC

CRD#: 144131

DALLAS, TX

Past

October 9, 2009 - August 4, 2010

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

DALLAS, TX

Past

October 9, 2009 - August 4, 2010

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

DALLAS, TX

Past

February 16, 2001 - October 12, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DALLAS, TX

Past

February 16, 2001 - October 12, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DALLAS, TX

Past

March 2, 1998 - March 1, 2001

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

January 2, 1998 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

October 16, 1992 - January 2, 1998

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

DALLAS, TX

Past

April 7, 1989 - October 30, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

August 21, 1986 - April 15, 1989

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MCGOWAN GROUP ASSET MANAGEMENT, INC.

CRD#: 154127 / SEC#: 801-71582

RIA

Registered Investment Advisory firm - (7/14/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(8/2/2011)

IAR

Texas
(8/6/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/12/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/21/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/26/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/16/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/7/2009

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/7/2009

General Securities Sales Supervisor - Options Module Examination

Current Firm

MCGOWAN GROUP ASSET MANAGEMENT, INC.

CRD#: 154127 / SEC#: 801-71582

RIA

Registered Investment Advisory firm - (7/14/2010 Approved)

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Contact information

Main Address

300 Crescent Court #1776, Dallas, TX 75201

Mailing Address

Phone number

(214) 720-4400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (3/26/2025)

ADV PART 2A APPENDIX FIRM BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	2,050
AUM (Assets Under Management)	$ 996,742,756

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.

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Advisor Monitoring

Firm Stability Insights

Spencer D. Mcgowan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Spencer Dean Mcgowan's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPIRE SECURITIES, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

RAUSCHER PIERCE REFSNES, INC.

LEHMAN BROTHERS INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

MCGOWAN GROUP ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/12/1992

Series 63

Date: 8/21/1986

SIE

Date: 12/31/2014

Series 3

Date: 9/26/1986

Series 7

Date: 8/16/1986

Series 10

Date: 12/7/2009

Series 9

Date: 12/7/2009

Current Firm

MCGOWAN GROUP ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MCGOWAN GROUP ASSET MANAGEMENT, INC.

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