Thomas K. Mcgowan
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 Keith Mcgowan, who also goes by Thomas Keith Mcgowan Mr, Tom Mcgowan, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2020 - May 15, 2024
ZCM
February 13, 2015 - June 1, 2020
ZIEGLER CAPITAL MANAGEMENT, LLC
November 25, 2010 - November 26, 2014
MISSOURI VALLEY PARTNERS, INC.
December 2, 1998 - January 21, 2004
DOMINICK & DICKERMAN LLC
July 1, 1998 - December 8, 1998
COWEN AND COMPANY
February 10, 1995 - July 1, 1998
FINANCIAL SQUARE PARTNERS
January 28, 1995 - August 12, 1995
UBS FINANCIAL SERVICES INC.
November 8, 1990 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
March 21, 1989 - November 20, 1990
LEHMAN BROTHERS 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
ZCM
CRD#: 309195 / SEC#: 801-118813
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,486 |
| AUM (Assets Under Management) | $ 6,613,220,039 |
Red Flags
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