Joseph S. Rowley

ROWLEY FINANCIAL LLC

Parker, CO

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CRD#: 2338985

Professional summary

Joseph Stephen Rowley, AIF®, who also goes by Joseph S Rowley, is a registered financial advisor currently at ROWLEY FINANCIAL LLC located in Parker, Colorado.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Joseph has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph S Rowley

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.

Joseph Stephen Rowley is a licensed insurance agent. He spends approximately 5% of his time on this outside business activity. Joseph Stephen Rowley provides tax preparation services to client of RFL through RFL.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Stephen Rowley's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Current

October 26, 2018 - Present

ROWLEY FINANCIAL LLC

RIA

CRD#: 299182

Parker, CO

Past

April 22, 1999 - December 26, 2018

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Parker, CO

Past

March 16, 1999 - December 26, 2018

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

Parker, CO

Past

January 17, 1995 - March 19, 1999

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

August 1, 1994 - January 4, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(2/4/2022)

IAR

Colorado
(12/20/2018)

IAR

Maryland
(1/2/2019)

IAR

Texas
(10/26/2018)

IAR

Virginia
(12/27/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/25/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/24/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/29/1994

General Securities Representative Examination

Current Firm

ROWLEY FINANCIAL LLC

CRD#: 299182 / SEC#:

Arizona

Registered Investment Advisory firm - (2/4/2022 Approved)

Colorado

Registered Investment Advisory firm - (12/20/2018 Approved)

Maryland

Registered Investment Advisory firm - (1/2/2019 Approved)

Texas

Registered Investment Advisory firm - (10/23/2018 Conditional Restricted)

Virginia

Registered Investment Advisory firm - (12/27/2018 Approved)

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Contact information

Main Address

Parker, CO

Mailing Address

Phone number

(703) 595-9531

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	245
AUM (Assets Under Management)	$ 78,863,033

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Joseph S. Rowley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Stephen Rowley's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROWLEY FINANCIAL LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

LEGG MASON WOOD WALKER, INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 11/25/1994

Series 63

Date: 8/24/1994

SIE

Date: 10/1/2018

Series 7

Date: 7/29/1994

Current Firm

ROWLEY FINANCIAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROWLEY FINANCIAL LLC

TRUST BUT VERIFY

Contact information

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