John W. Bowden
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.
John William Bowden, who also goes by Bill Bowden, John W Bowden, was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1988. John had worked at 11 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2002 - January 20, 2005
WADDELL & REED
November 15, 2002 - January 20, 2005
WADDELL & REED
June 11, 2002 - November 25, 2002
MML INVESTORS SERVICES, LLC
May 6, 1999 - July 1, 2002
MONY SECURITIES CORPORATION
May 5, 1999 - July 1, 2002
MONY SECURITIES CORPORATION
November 17, 1998 - May 24, 1999
NORTHSTAR SECURITIES, INC.
July 7, 1997 - December 1, 1997
SUNAMERICA SECURITIES, INC.
December 8, 1992 - December 9, 1998
DOMINION CAPITAL CORPORATION
June 15, 1990 - March 28, 1991
OSAIC WEALTH, INC.
March 7, 1990 - July 9, 1990
METROPOLITAN LIFE INSURANCE COMPANY
March 7, 1990 - July 9, 1990
MSI FINANCIAL SERVICES, INC.
April 14, 1988 - January 22, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 14, 1988 - January 22, 1990
PRUCO SECURITIES, 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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
