Harriet C. Dower
Professional summary
Harriet C Dower, who also goes by Harriet C Cister, is a registered financial advisor currently at CITIZENS PRIVATE WEALTH located in San Francisco, California and CITIZENS SECURITIES, INC. located in San Francisco, California.
Harriet is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Harriet has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Harriet C Dower's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 19, 2024 - Present
CITIZENS PRIVATE WEALTH
Office #1: 101 California Street, San Francisco, CA 94111April 19, 2024 - Present
CITIZENS SECURITIES, INC.
Office #1: 101 California Street, San Francisco, CA 94111April 19, 2024 - Present
CITIZENS SECURITIES, INC.
Office #1: 101 California Street, San Francisco, CA 94111March 8, 2024 - May 7, 2024
J.P. MORGAN SECURITIES LLC
September 29, 2023 - May 7, 2024
J.P. MORGAN SECURITIES LLC
January 16, 2015 - May 8, 2024
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
January 16, 2015 - September 29, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
January 21, 2009 - January 30, 2015
BARCLAYS CAPITAL INC.
September 22, 2008 - January 30, 2015
BARCLAYS CAPITAL INC.
March 24, 2008 - October 15, 2008
LEHMAN BROTHERS INC.
February 16, 2001 - September 22, 2008
LEHMAN BROTHERS INC.
July 24, 2000 - February 13, 2001
J.P. MORGAN SECURITIES INC.
Primary Firm SEC Registration
CITIZENS PRIVATE WEALTH
CRD#: 106743 / SEC#: 801-40835
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
Current Firm
CITIZENS PRIVATE WEALTH
CRD#: 106743 / SEC#: 801-40835
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 7,846 |
| AUM (Assets Under Management) | $ 12,182,945,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 07/28/2023 | ||
| 10/28/2022 |
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.
