Daniel Bowers
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2022 - October 17, 2024
BANCTRUST SECURITIES USA
June 15, 2021 - March 10, 2022
MARCO POLO SECURITIES INC.
October 23, 2015 - February 2, 2021
UNICREDIT CAPITAL MARKETS LLC
June 5, 2013 - June 16, 2015
SG AMERICAS SECURITIES, LLC
June 1, 1992 - November 13, 1992
IDS LIFE INSURANCE COMPANY
June 1, 1992 - November 13, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
BANCTRUST SECURITIES USA
CRD#: 313116 / SEC#: , 8-70708
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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