Nicholas B. Rowe
Professional summary
Nicholas Bernard Rowe was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Nicholas is a previously registered financial advisor and started their career in finance in 1990. Prior to being barred, Nicholas had worked at 2 firms, which includes FOCUS CAPITAL WEALTH MANAGEMENT INC., OSAIC FS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2001 - January 2, 2013
FOCUS CAPITAL WEALTH MANAGEMENT, INC.
December 3, 1990 - January 31, 2006
OSAIC FS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
FOCUS CAPITAL WEALTH MANAGEMENT, INC.
CRD#: 117715 / SEC#: 801-64156
Contact information
Red Flags
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