Mari A. Bowen
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.
Mari A Bowen was a registered financial professional .
Mari is a previously registered financial professional and started their career in finance in 1998. Mari had worked at 7 firms and has passed the Series 66, 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 21, 2008 - August 22, 2014
SCOTTRADE, INC.
June 20, 2007 - April 1, 2008
CETERA WEALTH SERVICES, LLC
May 31, 2007 - April 1, 2008
CETERA WEALTH SERVICES, LLC
May 17, 2006 - September 15, 2006
COUNTRYWIDE INVESTMENT SERVICES, INC.
December 10, 2004 - July 5, 2006
UBS FINANCIAL SERVICES INC.
October 27, 1998 - June 7, 2004
CHARLES SCHWAB & CO., INC.
April 6, 1998 - October 30, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 6, 1998 - October 30, 1998
OSAIC FA, 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
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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