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RL

Robert V. Lowney

WALL STREET ACCESS
New York, NY 10005
Some features on this profile are disabled
CRD#: 2941986
RL

Professional summary

Robert Vincent Lowney, who also goes by Robert V Lowney, is a registered financial professional currently at WALL STREET ACCESS located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1997. Robert has worked at 7 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert V Lowney

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Vincent Lowney's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 24, 2012 - Present

WALL STREET ACCESS

Office #1: 100 Wall Street, Suite 804, New York, NY 10005
BD
CRD#: 10012
New York, NY
Past

May 27, 2011 - July 19, 2012

RODMAN & RENSHAW, LLC

BD
CRD#: 16415
NEW YORK, NY
Past

January 4, 2008 - May 27, 2011

HUDSON SECURITIES,INC.

BD
CRD#: 10467
JERSEY CITY, NJ
Past

January 20, 2006 - October 31, 2006

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
NEW YORK, NY
Past

April 22, 2005 - June 6, 2005

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

October 25, 2000 - June 6, 2005

UBS CAPITAL MARKETS L.P.

BD
CRD#: 2692
STAMFORD, CT
Past

December 1, 1997 - March 16, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(7/24/2012)
RR
New York
(7/24/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 12/11/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/16/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/28/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

WS
WALL STREET ACCESS
WALL STREET ACCESS | WALL STREET INVESTOR SERVICES | WALL STREET CLEARING COMPANY

CRD#: 10012 / SEC#: , 8-25936

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
100 Wall Street, Suite 804, New York, NY 10005
Mailing Address
100 Wall Street, Suite 804, New York, NY 10005
Phone number
(212) 709-9400
Established
New York since 02/01/1981
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DPK SECURITIES, LLC98% OWNER/GENERAL PARTNER
DENIS P. KELLEHER, LLC2% OWNER/GENERAL PARTNER
GOETCHIUS, ARTHUR LEROYCHIEF EXECUTIVE OFFICER1374251
KELLEHER, SEAN MICHAELPRESIDENT1726997
LAVIN, WILLIAM KANE JREXECUTIVE MANAGING DIRECTOR / ROSFP2703117
MITCHELL, JOHN LOUISCHIEF FINANCIAL OFFICER / FINOP2193524
O'CONNELL, JOHN PATRICKASSISTANT CONTROLLER4698479
VISCOVICH, GREGORY DOMINICCHIEF COMPLIANCE OFFICER2621348

Disclosures

Regulatory Event19
Arbitration15

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.

Company Information

WALL STREET ACCESS

CRD#: 10012New York, NY 10005

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