Michael G. Bowen
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.
Michael Gerard Bowen, who also goes by Michael G Bowen, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2014 - July 26, 2016
STRATEGIC ADVISERS LLC
August 11, 2011 - July 25, 2016
FIDELITY BROKERAGE SERVICES LLC
November 22, 2007 - January 12, 2010
HSBC SECURITIES (USA) INC.
May 16, 2007 - January 12, 2010
HSBC SECURITIES (USA) INC.
January 16, 2006 - May 11, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 5, 1993 - May 10, 1994
FIS SECURITIES, INC.
August 26, 1992 - June 1, 1993
VERAVEST INVESTMENTS, INC.
June 29, 1990 - January 8, 1991
CITISTREET EQUITIES LLC
December 4, 1989 - March 14, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
December 4, 1989 - March 14, 1990
MONY SECURITIES CORPORATION
December 19, 1987 - September 7, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
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
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
