Gregory L. Bowen
Professional summary
Gregory Lynn Bowen was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gregory is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Gregory had worked at 5 firms, which includes FIRST LIBERTIES FINANCIAL, PRUDENTIAL EQUITY GROUP LLC, GSC SECURITIES INC., GOVERNMENT SECURITIES CORPORATION, THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2012 - February 27, 2013
FIRST LIBERTIES FINANCIAL
July 26, 1994 - January 23, 1995
PRUDENTIAL EQUITY GROUP, LLC
July 11, 1988 - July 26, 1994
GSC SECURITIES, INC.
January 12, 1988 - July 26, 1994
GOVERNMENT SECURITIES CORPORATION
March 24, 1987 - November 18, 1987
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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