David N. Lowe
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.
David Nolan Lowe was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2012 - December 31, 2012
CROWN CAPITAL SECURITIES, L.P.
May 21, 2012 - August 3, 2018
CROWN CAPITAL SECURITIES, L.P.
January 22, 2009 - March 13, 2012
LPL FINANCIAL LLC
January 22, 2009 - March 13, 2012
LPL FINANCIAL LLC
January 5, 2007 - January 6, 2009
ZIONS CAPITAL ADVISORS, INC.
July 14, 2003 - December 31, 2006
ZIONS DIRECT, INC.
July 14, 2003 - January 6, 2009
ZIONS DIRECT, INC.
May 22, 2000 - June 26, 2003
EDWARD JONES
July 12, 1999 - May 22, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 20, 1996 - July 12, 1999
BA INVESTMENT SERVICES, INC.
November 3, 1992 - June 19, 1996
CUNA BROKERAGE SERVICES, INC.
May 7, 1991 - April 10, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 7, 1991 - April 10, 1992
PRUCO SECURITIES, LLC.
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
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
