Michael A. Bowman
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.
Michael Andre Bowman, who also goes by Michael A Bowman, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2011 - July 10, 2023
CAPITAL CLIENT GROUP, INC.
January 1, 2010 - March 31, 2011
INVESCO ADVISERS, INC.
April 2, 2008 - January 1, 2010
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
December 7, 2007 - March 31, 2011
INVESCO DISTRIBUTORS, INC.
December 5, 2007 - December 7, 2007
AT INVESTOR SERVICES, INC.
January 5, 1998 - August 19, 1998
GUARANTY BROKERAGE SERVICES, INC.
May 21, 1996 - December 31, 1997
ALLSTATE FINANCIAL SERVICES, LLC
October 31, 1995 - May 23, 1996
FIRST INTERSTATE INVESTMENTS,INC.
May 10, 1994 - October 31, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
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
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | STOCKHOLDER | |
| AGUILAR, ALBERT JR | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR | 5106724 |
| BURTON, RENE MARGARET | TREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR | 1956766 |
| MCHALE, TIMOTHY WILLIAM | SECRETARY | 4244021 |
| O'CONNOR, MATTHEW PHILIP | CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR | 2427203 |
| PIKEN, KEITH ALAN | SENIOR VICE PRESIDENT, DIRECTOR | 2576730 |
| TRIESSL, MICHAEL JAMES | DIRECTOR | 3060797 |
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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