Tommy D. Bowman
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.
Tommy David Bowman, who also goes by Tom Bowman, was a registered financial professional .
Tommy is a previously registered financial professional and started their career in finance in 1973. Tommy had worked at 9 firms and has passed the Series 63, Series 6, Series 7, Series 1, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2011 - October 4, 2012
AMERICAN EQUITY INVESTMENT CORPORATION
June 30, 2006 - July 16, 2009
AMERITAS INVESTMENT COMPANY, LLC
April 30, 2002 - June 30, 2006
CARILLON INVESTMENTS, INC.
February 12, 1997 - March 20, 2002
TRANSAMERICA SECURITIES SALES CORPORATION
November 24, 1987 - January 31, 1997
THE O.N. EQUITY SALES COMPANY
July 4, 1987 - November 19, 1987
MUTUAL SERVICE CORPORATION
January 8, 1987 - May 27, 1987
PTX SECURITIES, LLC
January 2, 1973 - June 20, 1983
AMERICAN UNITED LIFE INSURANCE COMPANY
January 2, 1973 - June 22, 1983
ONEAMERICA SECURITIES, INC.
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: 12/19/1972
Registered Representative ExaminationCurrent Firm
AMERICAN EQUITY INVESTMENT CORPORATION
CRD#: 40199 / SEC#: , 8-49078
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEOPLES, TIMOTHY ERIC | PRESIDENT / CHIEF COMPLIANCE OFFICER | 1026456 |
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.
