Robert M. Bowe
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.
Robert Michael Bowe was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1972. Robert had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2007 - March 10, 2020
CHATSWORTH SECURITIES LLC
September 23, 2005 - February 8, 2007
SBK-BROOKS INVESTMENT CORP.
October 29, 1999 - July 24, 2001
GREENWICH PARTNERS, LLC
September 10, 1998 - July 13, 1999
COASTAL SECURITIES, INC.
June 21, 1993 - June 20, 1997
J.J. KENNY DRAKE, INC.
February 28, 1992 - June 2, 1993
SECURITY DEALERS GUILD, INC.
March 7, 1990 - September 13, 1990
KIDDER, PEABODY & CO. INCORPORATED
April 17, 1989 - March 31, 1990
GREENWICH PARTNERS, LLC
December 27, 1983 - January 12, 1989
MORGAN STANLEY & CO. LLC
April 2, 1980 - December 23, 1983
WESTPAC POLLOCK & CO. INC.
November 2, 1979 - December 9, 1979
LEHMAN BROTHERS INC.
June 20, 1979 - August 17, 1979
THOMSON MCKINNON SECURITIES INC.
April 5, 1976 - June 27, 1978
HERBERT J. SIMS & CO, INC.
May 18, 1972 - March 28, 1976
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 5/15/1972
Registered Representative ExaminationCurrent Firm
CHATSWORTH SECURITIES LLC
CRD#: 40804 / SEC#: 801-120061, 8-49199
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIFIORE, RALPH RAYMOND | SENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER | 1913027 |
| FULVIO, GENNARO JOHN | FINOP | 2435828 |
| MACLEAN, DANIEL CRAWFORD | SENIOR MANAGING DIRECTOR | 1467579 |
| MATCOVSKY, JOEL JAY | SENIOR MANAGING DIRECTOR | 1769496 |
| THE ESTATE OF CURTIS E. GOWDY | ESTATE |
Disclosures
| Regulatory Event | 1 |
Red Flags
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