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AL

Anthony L. Lowe

Some features on this profile are disabled
CRD#: 2636728
AL

Professional summary

Anthony Leon Lowe was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Anthony is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Anthony had worked at 2 firms, which includes WOODSTOCK FINANCIAL GROUP INC., AMERIPRISE ADVISOR SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andy Leon Lowe | Anthony 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.
The advisor shows no other business activity.

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

January 27, 1997 - February 17, 1999

WOODSTOCK FINANCIAL GROUP, INC.

BD
CRD#: 38095
WOODSTOCK, GA
Past

July 26, 1995 - February 10, 1997

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI

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.

Exams

State Security Law Exam
RR
Series 63
Date: 7/20/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/6/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 7/18/1995
Municipal Securities Representative Examination

Current Firm

WF
WOODSTOCK FINANCIAL GROUP, INC.
ASSET MARKETING STRATEGIES,LLC | WOODSTOCK FINANCIAL GROUP, INC. | WINSTON COOPER INC. | WILLIAMS ADVISORY GROUP, LLC | WIENIEWITZ FINANCIAL | VERITAS FINANCIAL GROUP | TOMOLONIS FINANCIAL, LLC | ROOT FINANCIAL SERVICES | ROBERTS WEALTH MANAGEMENT | RETIREMENT SOLUTIONS OF GA | REINHARDT CONSULTING GROUP | RAIKE FINANCIAL GROUP INC. | RAIKE FINANCIAL GROUP | LOTUS POSITIONS, LLC | LAKE WYLIE FINANCIAL, LLC | GLASGOW FINANCIAL SERVICES | FIRST CHOICE FINANCIAL GROUP | FESSLER FINANCIAL GROUP | FESSLER FINANCIAL | F.I.T. FINANCIAL | EDGEWOOD FINANCIAL | DRESSLER FINANCIAL SERVICES, INC. | DRAWDY FINANCIAL SERVICES, LLC | COVENANT WEALTH MANAGEMENT | CORE FINANCIAL | CBG FINANCIAL INC. | BRUCKNER FINANCIAL GROUP | BRANCA FINANCIAL GROUP | BOND FINANCIAL SERVICES

CRD#: 38095 / SEC#: 801-65881, 8-48080

BD
Terminated by SEC on 02/10/2020
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Contact information

Main Address
117 Towne Lake Parkway Suite 200, Woodstock, GA 30188
Mailing Address
Phone number
Established
Georgia since 04/28/2009
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A - MARCH 29, 2018 (3/30/2018)

Direct owners and executive officers

NamePositionCRD#
WOODSTOCK HOLDINGS INCHOLDING COMPANY
BRANCA, ANTHONY DOUGLASCHIEF COMPLIANCE OFFICER OF BD1178639
BRANCA, ANTHONY DOUGLASCHIEF OPERATING OFFICER1178639
RAIKE, WILLIAM JASPER IIICHIEF COMPLIANCE OFFICER - RIA1502298
RAIKE, WILLIAM JASPER IIIPRESIDENT / CEO1502298
RAIKE, WILLIAM JASPER IIIROSFP1502298
WHITLEY, MELISSA LYNNCHIEF FINANCIAL OFFICER / FINOP2615710

Disclosures

Regulatory Event6
Arbitration7

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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Company Information

WOODSTOCK FINANCIAL GROUP, INC.

CRD#: 38095

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