John H. Fowler
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.
John Harold Fowler was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1967. John had worked at 11 firms and has passed the Series 65, Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2017 - January 23, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 19, 2017 - January 23, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 28, 2003 - June 19, 2017
WFG ADVISORS, LP
March 22, 1991 - November 14, 2006
WFG INVESTMENTS, INC.
March 22, 1991 - June 19, 2017
WFG INVESTMENTS, INC.
February 28, 1991 - March 22, 1991
WFG INVESTMENTS, INC.
February 18, 1988 - March 6, 1991
MORGAN STANLEY DW INC.
February 15, 1988 - March 16, 1988
LEHMAN BROTHERS INC.
February 18, 1974 - February 15, 1988
E. F. HUTTON & COMPANY INC
July 2, 1973 - March 19, 1974
DUPONT WALSTON, INCORPORATED
September 17, 1971 - July 2, 1973
DUPONT GLORE FORGAN INC
January 28, 1971 - September 11, 1971
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
August 8, 1967 - May 6, 1971
GOODBODY & CO. INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 2/7/1967
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
