David H. Bowman
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.
David Harvey Bowman, who also goes by David Harvey Bowman Jr., David Bowman, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 16 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
January 3, 2019 - December 6, 2019
CLSA AMERICAS, LLC
February 15, 2013 - December 6, 2019
CLSA AMERICAS, LLC
April 20, 2012 - June 3, 2013
CREDIT AGRICOLE SECURITIES (USA) INC.
November 15, 2000 - January 31, 2012
DEUTSCHE BANK SECURITIES INC.
November 10, 1998 - March 31, 2000
NOMURA SECURITIES INTERNATIONAL, 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
CLSA AMERICAS, LLC
CRD#: 165533 / SEC#: , 8-69166
Contact information
FINRA licenses (53 States and Territories)
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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