Kevin A. Rowell

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CRD#: 1754089

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.

Kevin A Rowell, who also goes by Kevin Alan Rowell, Kevin Alfred Rowell, was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1988. Kevin had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kevin Alan Rowell | Kevin Alfred Rowell

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

None

Experience

Past

September 12, 2017 - August 30, 2018

DONOGHUE FORLINES LLC

RIA

CRD#: 285403

San Anselmo, CA

Past

October 28, 2016 - August 30, 2018

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

September 16, 2015 - October 7, 2016

FIRST DOMINION CAPITAL CORP.

CRD#: 16330

RICHMOND, VA

Past

August 19, 2010 - September 18, 2013

FORESIDE GLOBAL SERVICES, LLC

CRD#: 147382

SAN FRANCISCO, CA

Past

July 16, 2008 - July 13, 2010

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

January 12, 2006 - July 9, 2007

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

June 16, 2004 - July 7, 2005

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

September 17, 2002 - April 28, 2004

SYMETRA SECURITIES, INC.

CRD#: 739

BELLEVUE, WA

Past

August 21, 1998 - July 23, 2002

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

January 21, 1988 - August 24, 1998

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

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".

DONOGHUE FORLINES LLC

DONOGHUE FORLINES LLC | W.E. DONOGHUE & CO., LLC

CRD#: 285403 / SEC#: 801-108564

RIA

Registered Investment Advisory firm - (11/9/2016 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 11/10/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/19/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/10/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/12/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 4/12/1994

Investment Company Products/Variable Contracts Principal Examination

Current Firm

DONOGHUE FORLINES LLC

DONOGHUE FORLINES LLC | W.E. DONOGHUE & CO., LLC

CRD#: 285403 / SEC#: 801-108564

RIA

Registered Investment Advisory firm - (11/9/2016 Approved)

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Contact information

Main Address

125 High Street Suite 220, Boston, MA 02110

Mailing Address

Phone number

(800) 642-4276

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DONOGHUE FORLINES ADV PART 2A - MARCH 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	23
AUM (Assets Under Management)	$ 389,233,877

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

Kevin A. Rowell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHERN LIGHTS DISTRIBUTORS, LLC

FIRST DOMINION CAPITAL CORP.

FORESIDE GLOBAL SERVICES, LLC

QUASAR DISTRIBUTORS, LLC

AMUNDI DISTRIBUTOR US, INC.

CHARLES SCHWAB & CO., INC.

SYMETRA SECURITIES, INC.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

DONOGHUE FORLINES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/10/1987

SIE

Date: 8/30/2018

Series 7

Date: 12/19/1994

Series 6

Date: 11/10/1987

Series 24

Date: 4/12/2001

Series 26

Date: 4/12/1994

Current Firm

DONOGHUE FORLINES LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DONOGHUE FORLINES LLC

TRUST BUT VERIFY

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