Thomas W. Mcdowell
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.
Thomas W Mcdowell JR., who also goes by Thomas Mccowell, Thomas W Mcdowell, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1997. Thomas had worked at 2 firms and has passed the Series 65, Series 63 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2003 - October 7, 2025
RICE HALL JAMES & ASSOCIATES LLC
July 8, 1997 - March 27, 2003
RICE HALL JAMES & ASSOCIATES
Primary Firm SEC Registration
RICE HALL JAMES & ASSOCIATES LLC
CRD#: 125410 / SEC#: 801-61905
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
Series 2
Date: 5/31/1990
Non-Member General Securities ExaminationCurrent Firm
RICE HALL JAMES & ASSOCIATES LLC
CRD#: 125410 / SEC#: 801-61905
Contact information
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 265 |
| AUM (Assets Under Management) | $ 1,775,743,710 |
Red Flags
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