Maxine E. Fowler
Professional summary
Maxine Elaine Fowler was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Maxine is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Maxine had worked at 2 firms, which includes REGIONS INVESTMENT COMPANY INC., FIRST UNION BROKERAGE SERVICES INC..
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 1999 - November 13, 2000
REGIONS INVESTMENT COMPANY, INC.
January 19, 1994 - November 30, 1999
FIRST UNION BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
REGIONS INVESTMENT COMPANY, INC.
CRD#: 17618 / SEC#: , 8-35371
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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