Phillip E. 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.
Phillip Edward Bowen, who also goes by Phil Bowen, was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1989. Phillip had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2001 - February 15, 2002
LASALLE ST SECURITIES, L.L.C.
January 8, 1999 - March 7, 2001
CHICAGO INVESTMENT GROUP, LLC
November 19, 1996 - December 8, 1998
MILLS FINANCIAL SERVICES, INC.
September 17, 1994 - November 15, 1996
SCHNEIDER SECURITIES, INC.
July 30, 1994 - September 14, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 4, 1991 - July 27, 1994
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
February 15, 1989 - August 28, 1991
J. W. GANT & ASSOCIATES, INC.
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
LASALLE ST SECURITIES, L.L.C.
CRD#: 7191 / SEC#: , 8-18860
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 15 |
| Arbitration | 4 |
| Bond | 1 |
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.
