Gary S. Sowell
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.
Gary Scott Sowell, who also goes by Scott Sowell, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 2000. Gary had worked at 9 firms and has passed the Series 63, SIE 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
January 13, 2016 - September 22, 2016
CAPITAL ONE INVESTING, LLC
February 9, 2015 - August 6, 2015
EQUITABLE ADVISORS, LLC
September 8, 2014 - December 18, 2014
DAWSON JAMES SECURITIES, INC.
December 21, 2005 - August 11, 2014
SCOTTRADE, INC.
January 23, 2004 - December 19, 2005
VALIC FINANCIAL ADVISORS, INC.
June 26, 2002 - November 7, 2002
NEW ENGLAND SECURITIES
June 15, 2001 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
April 19, 2001 - June 12, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 7, 2000 - November 21, 2000
B. RILEY 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
Current Firm
CAPITAL ONE INVESTING, LLC
CRD#: 45744 / SEC#: , 8-51160
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL INVESTING, LLC | PARENT COMPANY & MEMBER | |
| BARBANO, LYNLEY ESTELLE | PRINCIPAL OPERATIONS OFFICER | 2239052 |
| COMO, MONALISA RAASS | PRESIDENT & CHIEF OPERATING OFFICER | 2536504 |
| CONSTANTINO, KRISTEN DANIELLE | CHIEF COMPLIANCE OFFICER | 3001473 |
| MARTIN, ALEX MICHAEL | FINANCIAL & OPERATIONS PRINCIPAL / PRINCIPAL FINANCIAL OFFICER | 5639666 |
Disclosures
| Regulatory Event | 3 |
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.
