David J. Lowery

LOWERY THOMAS

WALNUT CREEK, CA 94597

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CRD#: 2704968

Professional summary

David James Lowery is a registered financial advisor currently at LOWERY THOMAS, LLC located in Walnut Creek, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. David has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view David James Lowery's CRS (Customer Relationship Summary).

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

June 2, 1999 - Present

LOWERY THOMAS, LLC

Office #1: 2940 Camino Diablo Ste 120, Walnut Creek, CA 94597

RIA

CRD#: 110058

WALNUT CREEK, CA

Past

November 24, 1997 - June 30, 1999

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

March 5, 1996 - December 1, 1997

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

LOWERY THOMAS, LLC

KENNETH G. CALA, CPA | MARK T. VICENCIO, CPA | LOWERY THOMAS, LLC | LOWERY THOMAS, INC.

CRD#: 110058 / SEC#: 801-58206

RIA

Registered Investment Advisory firm - (12/19/2000 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(6/2/1999)

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: 3/11/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/6/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/4/1996

General Securities Representative Examination

Current Firm

LOWERY THOMAS, LLC

KENNETH G. CALA, CPA | MARK T. VICENCIO, CPA | LOWERY THOMAS, LLC | LOWERY THOMAS, INC.

CRD#: 110058 / SEC#: 801-58206

RIA

Registered Investment Advisory firm - (12/19/2000 Approved)

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Contact information

Main Address

Pebble Beach, CA

Mailing Address

Po Box 1442, Pebble Beach, CA 93953

Phone number

(831) 230-6380

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LOWERY THOMAS, LLC (11/25/2025)

Regulatory assets under management

Total Number of Accounts	621
AUM (Assets Under Management)	$ 341,058,349

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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David J. Lowery

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David James Lowery's CRS (Customer Relationship Summary).

Certified licenses

Experience

LOWERY THOMAS, LLC

PIPER SANDLER & CO.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

LOWERY THOMAS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/11/1996

Series 63

Date: 3/6/1996

Series 7

Date: 3/4/1996

Current Firm

LOWERY THOMAS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LOWERY THOMAS, LLC

TRUST BUT VERIFY

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