Harry S. Bower

HARRY S. BOWER

Dennis, MA

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CRD#: 27241

Professional summary

Harry Salway Bower, CFA is a registered financial advisor currently at HARRY S. BOWER, LLC located in Dennis, Massachusetts.

Harry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1970. Harry has worked at 5 firms and has passed the Series 65, Series 63, PC and Series 1 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 Harry Salway Bower'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®

CFA

Chartered Financial Analyst

Experience

Current

May 8, 2008 - Present

HARRY S. BOWER, LLC

RIA

CRD#: 140303

Dennis, MA

Past

January 28, 1995 - November 28, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

MANCHESTER, NH

Past

May 19, 1978 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

June 24, 1974 - May 19, 1978

KIDDER, PEABODY & CO., INCORPORATED

CRD#: 488

Past

September 23, 1970 - July 26, 1974

CLARK, DODGE & CO., INCORPORATED

CRD#: 161

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

Massachusetts
(5/8/2008)

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: 1/30/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/2/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 8/15/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 9/21/1970

Registered Representative Examination

Current Firm

HARRY S. BOWER, LLC

CRD#: 140303 / SEC#: 801-66790

RIA

Registered Investment Advisory firm - (6/20/2012 Terminated)

Massachusetts

Registered Investment Advisory firm - (5/10/2012 Approved)

New York

Registered Investment Advisory firm - (11/21/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Dennis, MA

Mailing Address

Phone number

(800) 942-6180

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/14/2023	Cover Page	Report
08/18/2022	Cover Page	Report

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.

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Harry S. Bower

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harry Salway Bower's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARRY S. BOWER, LLC

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

KIDDER, PEABODY & CO., INCORPORATED

CLARK, DODGE & CO., INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 1/30/1992

Series 63

Date: 6/2/1987

PC

Date: 8/15/1977

Series 1

Date: 9/21/1970

Current Firm

HARRY S. BOWER, LLC

Contact information

Documents

Accountant surprise examination report

Red Flags

Company Information

HARRY S. BOWER, LLC

TRUST BUT VERIFY

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