Kevin T. Dowie
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.
Kevin Thomas Dowie, who also goes by Kevin Dowie, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1997. Kevin had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2022 - May 2, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
October 27, 2022 - May 1, 2023
FIDELITY BROKERAGE SERVICES LLC
June 30, 2008 - October 11, 2018
FORESIDE FUND SERVICES, LLC
July 11, 2006 - June 30, 2008
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
September 30, 1997 - June 6, 2006
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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 7TO
Date: 10/27/2022
General Securities Representative ExaminationCurrent Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
