Lloyd D. Lowe

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CRD#: 2474587

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.

Lloyd Daniel Lowe SR, who also goes by Lloyd Daniel Lowe, was a registered financial professional .

Lloyd is a previously registered financial professional and started their career in finance in 1994. Lloyd had worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lloyd Daniel Lowe

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.

Lloyd Lowe is a licensed insurance producer with various insurance companies and operates this business from the main office location. Mr. Lowe no longer offers new products to clients, but does receive trailing commissions on insurance products previously sold. The business is insurance investment-related. Mr. Lowe has been licensed since 1991. Mr. Lowe spends less than 16 hours per month on these activities, and only a negligible amount of those hours are during securities trading hours.

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

September 22, 2021 - April 22, 2024

LD LOWE WEALTH ADVISORY

RIA

CRD#: 136596

RICHARDSON, TX

Past

October 7, 2005 - December 31, 2020

LD LOWE WEALTH ADVISORY

RIA

CRD#: 136596

DALLAS, TX

Past

November 10, 2000 - October 11, 2005

MUTUAL SERVICE CORPORATION

RIA

CRD#: 4806

FRISCO, TX

Past

November 10, 2000 - August 8, 2006

MUTUAL SERVICE CORPORATION

CRD#: 4806

FRISCO, TX

Past

February 5, 1999 - November 15, 2000

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, MO

Past

April 2, 1998 - February 11, 1999

ARAGON FINANCIAL SERVICES, INC.

CRD#: 16023

IRVINE, CA

Past

May 6, 1996 - April 6, 1998

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

April 12, 1994 - May 8, 1996

BMA FINANCIAL SERVICES, INC.

CRD#: 7943

KANSAS CITY, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LD LOWE WEALTH ADVISORY

CRD#: 136596 / SEC#: 801-64775

RIA

Registered Investment Advisory firm - (10/7/2005 Approved)

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.

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: 10/14/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/11/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 4/11/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LD LOWE WEALTH ADVISORY

CRD#: 136596 / SEC#: 801-64775

RIA

Registered Investment Advisory firm - (10/7/2005 Approved)

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Contact information

Main Address

1100 East Campbell Road Suite 200, Richardson, TX 75081

Mailing Address

Phone number

(972) 335-2523

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LD LOWE FIRM DISCLOSURE BROCHURE AND WRAP BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	684
AUM (Assets Under Management)	$ 119,217,996

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.

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Firm Stability Insights

Lloyd D. Lowe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LD LOWE WEALTH ADVISORY

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

FFP SECURITIES, INC.

ARAGON FINANCIAL SERVICES, INC.

CETERA WEALTH SERVICES, LLC

BMA FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

LD LOWE WEALTH ADVISORY

State Registrations and Notice Filings

Exams

Series 65

Date: 10/14/1994

Series 63

Date: 4/11/1994

Series 6

Date: 4/11/1994

Current Firm

LD LOWE WEALTH ADVISORY

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LD LOWE WEALTH ADVISORY

TRUST BUT VERIFY

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