Scott S. Bowen
Professional summary
Scott Spencer Bowen, who also goes by Scott Bowen, is a registered financial professional currently at RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC located in New York, New York and RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC located in New York, New York.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1996. Scott has worked at 6 firms and has passed the Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Spencer Bowen's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 27, 2024 - Present
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
Office #1: 575 Fifth Avenue Floor 35, New York, NY 10017November 5, 2024 - Present
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
Office #1: 575 Fifth Avenue Floor 35, New York, NY 10017March 18, 2015 - October 2, 2024
UBS SECURITIES LLC
February 8, 2011 - August 15, 2013
RICE FINANCIAL PRODUCTS COMPANY
October 1, 2008 - September 18, 2009
MORGAN STANLEY & CO. LLC
October 29, 1996 - April 11, 2008
DEUTSCHE BANK 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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
CRD#: 21771 / SEC#: , 8-39227
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUSSELL INVESTMENT MANAGEMENT, LLC | CORPORATE PARENT OF APPLICANT | |
| ALVAREZ, CARLOS CID | US BROKER-DEALER CHIEF COMPLIANCE OFFICER | 5689384 |
| ERICKSON, ROSS EDWARD | DIRECTOR | 3003283 |
| JUNG, BRAD EDWARD | CHAIRMAN AND PRESIDENT | 2419757 |
| SIEGEL, DAVID ANDREW | FINANCIAL AND OPERATIONS PRINCIPAL | 7440274 |
| SURLOFF, HOWARD BRIAN | CHIEF LEGAL OFFICER | 7525747 |
Red Flags
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