William W. Vowell
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.
William Walter Vowell, who also goes by Bill Vowell, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1997. William had worked at 5 firms and has passed the Series 63 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
April 16, 2001 - June 22, 2001
RUMSON CAPITAL, LLC
March 31, 1998 - April 13, 1999
PAULSON INVESTMENT COMPANY LLC
September 3, 1997 - March 20, 1998
PARAGON CAPITAL MARKETS, INC.
June 5, 1997 - August 12, 1997
ARGENT SECURITIES, INC.
May 19, 1997 - June 3, 1997
CONTINENTAL BROKER-DEALER CORP.
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
Current Firm
RUMSON CAPITAL, LLC
CRD#: 33848 / SEC#: , 8-46133
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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