Carol C. Bower
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.
Carol Craig Bower, who also goes by Carol C Bower, Carol Bower, Carol C Campbell, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1986. Carol had worked at 4 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2002 - December 31, 2002
ITA FINANCIAL SERVICES, LLC
June 13, 1991 - June 7, 1999
CHARLES SCHWAB & CO., INC.
January 13, 1988 - August 13, 1990
BOETTCHER & COMPANY, INC.
December 26, 1986 - November 13, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Series 8
Date: 4/11/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ITA FINANCIAL SERVICES, LLC
CRD#: 38649 / SEC#: , 8-48344
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
