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JD

Joseph Dowling

PERPETUAL AMERICAS FUNDS DISTRIBUTORS
Berwyn, PA 19312
Some features on this profile are disabled
CRD#: 2678591
JD

Professional summary

Joseph Dowling, who also goes by Joseph William Dowling, is a registered financial professional currently at PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC located in Berwyn, Pennsylvania.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1998. Joseph has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 6TO, Series 7, Series 6 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph William Dowling

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) - BD

Click below to view Joseph Dowling's CRS (Customer Relationship Summary).

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

Current

July 19, 2021 - Present

PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC

Office #1: 1055 Westlakes Drives Suite 310, Berwyn, PA 19312
BD
CRD#: 143809
Berwyn, PA
Past

April 20, 2019 - July 19, 2021

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
BERWYN, PA
Past

April 15, 2016 - March 25, 2019

HOOVER FINANCIAL ADVISORS, INC.

RIA
CRD#: 133979
MALVERN, PA
Past

November 6, 2014 - May 24, 2016

FIDELITY FEDERAL PLANNING CORP.

RIA
CRD#: 114873
MONTGOMERYVILLE, PA
Past

March 3, 2014 - October 22, 2014

UNITED CAPITAL FINANCIAL ADVISORS

RIA
CRD#: 134600
NORTH WALES, PA
Past

March 8, 2012 - January 9, 2014

SII INVESTMENTS, INC.

RIA
CRD#: 2225
WAYNE, PA
Past

December 14, 2011 - January 9, 2014

SII INVESTMENTS, INC.

BD
CRD#: 2225
WAYNE, PA
Past

September 24, 2011 - December 19, 2011

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
BALA CYNWYD, PA
Past

January 23, 1998 - June 10, 1998

TULLETT & TOKYO SECURITIES, INC.

BD
CRD#: 19595
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(4/24/2024)
RR
California
(4/24/2024)
RR
Delaware
(7/21/2021)
RR
District of Columbia
(7/21/2021)
RR
Hawaii
(4/24/2024)
RR
Indiana
(1/2/2026)
RR
Kentucky
(1/2/2025)
RR
Maryland
(7/21/2021)
RR
Michigan
(3/4/2025)
RR
New Jersey
(7/21/2021)
RR
New York
(7/21/2021)
RR
North Carolina
(1/2/2024)
RR
Ohio
(10/29/2024)
RR
Pennsylvania
(7/21/2021)
RR
Puerto Rico
(7/21/2021)
RR
Virginia
(7/21/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 4/24/2019
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/7/2012
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/19/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6TO
Date: 4/16/2019
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 7/5/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/23/2011
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 10/10/1995
National Commodity Futures Examination
SRO Registrations
RR
FINRA

Current Firm

PA
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
ARDEN SECURITIES LLC | PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC | JOHCM FUNDS DISTRIBUTORS, LLC | HARDT GROUP INVESTOR SERVICES LLC | FORESIDE FUND PARTNERS LLC

CRD#: 143809 / SEC#: , 8-67608

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
PREMIUM
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Contact information

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(207) 553-7110
Established
New York since 01/23/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRES/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145
TAYLOR, GORDON BURDETTECHIEF COMPLIANCE OFFICER/VICE PRESIDENT2990648

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.

Company Information

PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC

CRD#: 143809Berwyn, PA 19312

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