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RB

Raymond M. Bowen

Some features on this profile are disabled
CRD#: 1960812
RB

Professional summary

Raymond Morris Bowen JR. was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Raymond is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Raymond had worked at 4 firms, which includes TUDOR PICKERING HOLT & CO. SECURITIES LLC, ECT SECURITIES LIMITED PARTNERSHIP, CITICORP SECURITIES INC., DB ALEX. BROWN LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ray Bowen Jr | Raymond Morris Bowen Jr | Raymond Morris Bowen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 14, 2012 - May 23, 2012

TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC

BD
CRD#: 129772
HOUSTON, TX
Past

January 21, 1998 - December 7, 2001

ECT SECURITIES LIMITED PARTNERSHIP

BD
CRD#: 37446
HOUSTON, TX
Past

August 12, 1992 - October 4, 1996

CITICORP SECURITIES, INC.

BD
CRD#: 7474
NEW YORK, NY
Past

July 18, 1989 - September 23, 1991

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/12/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79
Date: 12/22/2010
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 7/15/1989
General Securities Representative Examination

Current Firm

TP
TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC
PICKERING ENERGY PARTNERS, INC. | TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC | TUDOR, PICKERING, HOLT & CO. SECURITIES, INC. | TUDOR, PICKERING, HOLT & CO. | TUDOR, PICKERING & CO. SECURITIES, INC. | TPH&CO. - THE ENERGY BUSINESS OF PERELLA WEINBERG PARTNERS | TPH&CO. | TPH & CO. - THE ENERGY BUSINESS OF PERELLA WEINBERG PARTNERS | TPH & CO. | PWP SECURITIES

CRD#: 129772 / SEC#: , 8-66251

BD
Terminated by SEC on 02/09/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 10/01/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PERELLA WEINBERG PARTNERS GROUP LPOWNER
GOTTSCHALK, ALEXANDRA KATHLEENPARTNER, CHIEF FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER5864478
POLEMENI, MARK ANDREW ESQGLOBAL CHIEF COMPLIANCE OFFICER & CHIEF REGULATORY COUNSEL5070584

Disclosures

Regulatory Event3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC

CRD#: 129772

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