James S. Rowen
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.
James Stephen Rowen was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 7, Series 24 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 6, 2017 - January 20, 2023
RENAISSANCE INSTITUTIONAL MANAGEMENT LLC
April 27, 1998 - April 13, 2005
DEUTSCHE BANK SECURITIES INC.
February 7, 1995 - April 28, 1998
NATWEST SECURITIES CORPORATION
March 22, 1988 - January 24, 1995
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 5/1/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 11/18/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RENAISSANCE INSTITUTIONAL MANAGEMENT LLC
CRD#: 136113 / SEC#: , 8-66971
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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