Michael G. Bowen
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.
Michael George Bowen was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 11 firms and has passed the Series 63, SIE, Series 86, Series 87 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
August 4, 2017 - October 26, 2017
ROSENBLATT SECURITIES INC.
April 13, 2015 - February 21, 2017
KEYBANC CAPITAL MARKETS INC.
June 25, 2012 - April 13, 2015
PACIFIC CREST SECURITIES LLC
November 12, 2009 - August 2, 2011
GUGGENHEIM SECURITIES, LLC
May 15, 2008 - June 2, 2009
PIPER SANDLER & CO.
May 26, 2004 - August 11, 2006
B. RILEY SECURITIES, INC.
June 25, 2001 - May 20, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
June 7, 1999 - January 23, 2001
DEUTSCHE BANK SECURITIES INC.
July 9, 1998 - June 7, 1999
DB ALEX. BROWN LLC
February 1, 1997 - October 7, 1998
CREDIT SUISSE SECURITIES (USA) LLC
September 17, 1996 - November 11, 1996
HAMBRECHT & QUIST LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ROSENBLATT SECURITIES INC.
CRD#: 18377 / SEC#: , 8-24255
Contact information
FINRA licenses (15 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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