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DB

Daniel Bowers

Some features on this profile are disabled
CRD#: 2237463
DB

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.

Daniel Bowers was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1992. Daniel had worked at 6 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

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)

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

March 10, 2022 - October 17, 2024

BANCTRUST SECURITIES USA

BD
CRD#: 313116
NEW YORK, NY
Past

June 15, 2021 - March 10, 2022

MARCO POLO SECURITIES LLC

BD
CRD#: 46561
NEW YORK, NY
Past

October 23, 2015 - February 2, 2021

UNICREDIT CAPITAL MARKETS LLC

BD
CRD#: 7789
NEW YORK, NY
Past

June 5, 2013 - June 16, 2015

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY
Past

June 1, 1992 - November 13, 1992

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
Past

June 1, 1992 - November 13, 1992

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363

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: 6/18/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/11/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/4/2013
General Securities Representative Examination

Current Firm

BS
BANCTRUST SECURITIES USA
BANCTRUST & CO. | BTCO SECURITIES LLC | BANCTRUST SECURITIES USA

CRD#: 313116 / SEC#: , 8-70708

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Contact information

Main Address
620 Fifth Avenue Suite 206, New York, NY 10020
Mailing Address
620 Fifth Avenue Suite 206, New York, NY 10020
Phone number
(212) 466-6513
Established
Delaware since 03/09/2016
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#
BTCM HOLDINGS LLCOWNER
FUENMAYOR, CARLOS RICARDOCEO, PRINCIPAL & DIRECTOR4055839
GRAY, JOHN CLARKEFINANCIAL AND OPERATIONS PRINCIPAL (FINOP)1367440
LEBOWITZ, ROBERT SETHCCO2664643

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

BANCTRUST SECURITIES USA

CRD#: 313116

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