Owen A. Davies
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.
Owen Andrew Davies, who also goes by Owen A Davies, was a registered financial professional .
Owen is a previously registered financial professional and started their career in finance in 1995. Owen had worked at 3 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2011 - June 29, 2016
CRT CAPITAL GROUP LLC
July 25, 1997 - December 20, 2010
NATWEST MARKETS SECURITIES INC.
August 17, 1995 - March 15, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
CRT CAPITAL GROUP LLC
CRD#: 28830 / SEC#: , 8-43940
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
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.
