James L. Cowan

COWAN CAPITAL

Foster City, CA

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CRD#: 3126474

Professional summary

James Lawrence Cowan is a registered financial advisor currently at COWAN CAPITAL located in Foster City, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. James has worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

--Name of the other business: JAMES COWAN --Investment-related? NO --Address of the other business: 281 PUFFIN COURT, FOSTER CITY, CA 94404 --Nature of the other business: MUSICIAN AND SONG-WRITER --Position, title, or relationship with the other business: MUSICIAN AND SONG-WRITER --Start date of your relationship: 09/01/1977 --Approximate number of hours/month you devote to the other business: 6-10 --Number of hours you devote to the other business during securities trading hours: 0 --Duties relating to the other business: PLAYING IN A BAND/ SOLO; WRITING MUSICAL SONGS IN COLLABORATION WITH OTHER WRITERS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lawrence Cowan'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

April 27, 2023 - Present

COWAN CAPITAL

RIA

CRD#: 325865

Foster City, CA

Past

November 2, 2005 - April 3, 2023

FISHER INVESTMENTS

RIA

CRD#: 107342

WOODSIDE, CA

Past

November 30, 2004 - December 2, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

AURORA, CO

Past

April 1, 2003 - April 28, 2003

COLUMBIA MANAGEMENT ADVISORS, INC.

RIA

CRD#: 105842

PORTLAND, OR

Past

June 8, 2001 - April 1, 2003

STEIN ROE & FARNHAM INCORPORATED

RIA

CRD#: 105847

AURORA, CO

Past

September 30, 1998 - April 28, 2003

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/27/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/22/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/10/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 9/28/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

COWAN CAPITAL

COWAN CAPITAL | COWAN CAPITAL, LLC

CRD#: 325865 / SEC#: 801-127813

RIA

Registered Investment Advisory firm - (8/18/2023 Terminated)

California

Registered Investment Advisory firm - (8/17/2023 Approved)

Texas

Registered Investment Advisory firm - (11/25/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Foster City, CA

Mailing Address

Phone number

(650) 242-8704

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	20
AUM (Assets Under Management)	$ 17,453,000

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.

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James L. Cowan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lawrence Cowan's CRS (Customer Relationship Summary).

Certified licenses

Experience

COWAN CAPITAL

FISHER INVESTMENTS

MORGAN STANLEY DW INC.

COLUMBIA MANAGEMENT ADVISORS, INC.

STEIN ROE & FARNHAM INCORPORATED

BOFA DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/22/2001

Series 63

Date: 10/10/1998

Series 6

Date: 9/28/1998

Current Firm

COWAN CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

COWAN CAPITAL

TRUST BUT VERIFY

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