Douglas B. Rowe
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.
Douglas Blake Rowe, who also goes by Douglas Blake Bowe, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1986. Douglas had worked at 7 firms and has passed the Series 63, SIE, Series 79 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
October 20, 2015 - December 31, 2023
CITY CAPITAL ADVISORS, LLC
January 4, 2012 - November 20, 2013
STERNE, AGEE & LEACH, INC.
September 22, 2008 - February 2, 2011
BARCLAYS CAPITAL INC.
September 12, 1989 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
September 12, 1989 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
September 12, 1989 - September 22, 2008
LEHMAN BROTHERS INC.
October 7, 1986 - July 18, 1989
GOLDMAN SACHS & CO. LLC
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
CITY CAPITAL ADVISORS, LLC
CRD#: 143528 / SEC#: , 8-67580
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KING, RICHARD MARTIN | MANAGING DIRECTOR | |
| TIMMERMAN, MARK ALLEN | CCO, AMLCO, MANAGING DIRECTOR & EXECUTIVE REPRESENTATIVE | |
| LENART, BRIAN DOUGLAS | FINOP, PFO/POO | 736107 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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