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Barbara Jane Bowden

CRD# 2796510·Registered 1998 - 2013
Previously Registered: Being a previously registered professional could mean that Barbara 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.

Professional Summary

Barbara Jane Bowden was a registered financial advisor. Barbara was a previously registered financial professional and started their career in finance 1998 - 2013. Barbara had worked at 3 firms and has passed the Series 63, Series 7, Series 27 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

28 years in the financial services industry

Current & Past Employments

EASTON INVESTMENT SERVICES, LLC·CRD# 116028
BD
Merrillville, IN
March 21, 2002 - November 22, 2013
FINANCIAL STRATEGIES, LLC·CRD# 121846
RIA
Merrillville, IN
October 8, 1998 - December 31, 2018
ENERIC FINANCIAL SERVICES, INC.·CRD# 11761
BD
Fairfield, IA
May 18, 1998 - March 26, 2002

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Current Firm

EI
EASTON INVESTMENT SERVICES, LLC

EASTON INVESTMENT SERVICES, LLC

CRD#: 116028 / SEC#: 8-53529
BD
Terminated by SEC on 11/30/2013

Contact Information

Established

Indiana since 06/19/2001

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
BOWDEN, BARBARA JANEPRESIDENT/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER/FINANCIAL AND OPERATIONS PRINCIPAL/CHIEF COMPLIANCE OFFICER2796510
CLIFFORD, NANCY LUCILLESECRETARY/TREASURER/MUNICIPAL SECURITIES PRINCIPAL1311307

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1998About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed May 1998About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Aug 2001About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Jun 2001About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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