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WR

William J. Rich

BOWEN
Boston, MA 02210
Some features on this profile are disabled
CRD#: 2035607
WR

Professional summary

William Jennings Rich is a registered financial professional currently at BOWEN, INC. located in Boston, Massachusetts.

William is registered as a RR (Registered Representative) and started their career in finance in 2009. William has worked at 1 firm and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view William Jennings Rich's CRS (Customer Relationship Summary).

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

Current

March 18, 2009 - Present

BOWEN, INC.

Office #1: 22 Boston Wharf Road 7th Floor, Boston, MA 02210
BD
CRD#: 142930
Boston, MA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Massachusetts
(3/30/2009)

Exams

State Security Law Exam
RR
Series 63
Date: 3/27/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BI
BOWEN, INC.
BOWEN ADVISORS, INC. | BOWEN, INC.

CRD#: 142930 / SEC#: , 8-67510

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
34 Main Street Extension Suite 203, Plymouth, MA 02360
Mailing Address
34 Main Street Extension Suite 203, Plymouth, MA 02360
Phone number
(617) 245-1666
Established
Delaware since 01/02/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BOWEN, PAUL IVAN IIIPRESIDENT/TREASURER/FINOP/CCO

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.

Company Information

BOWEN, INC.

CRD#: 142930Boston, MA 02210

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