James S. Dowling
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.
James Scott Dowling, who also goes by Scott Dowling, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1998. James had worked at 4 firms and has passed the Series 65 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2020 - July 2, 2024
PATHSTONE
January 5, 2012 - September 30, 2020
CORNERSTONE ADVISORS INC
May 17, 2010 - November 20, 2010
PRIVATE ASSET MANAGEMENT INC
May 11, 1998 - October 20, 2011
DOWLING INVESTMENT GROUP
Primary Firm SEC Registration
PATHSTONE
CRD#: 151736 / SEC#: 801-70776
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
PATHSTONE
CRD#: 151736 / SEC#: 801-70776
Contact information
SEC notice filing (47 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 26,320 |
| AUM (Assets Under Management) | $ 100,444,137,501 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/22/2025 | ||
| 09/27/2024 | ||
| 10/25/2023 | ||
| 01/27/2023 |
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.
