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WL

William D. Lowe

Some features on this profile are disabled
CRD#: 313462
WL

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.

William Donald Lowe was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1970. William had worked at 9 firms and has passed the Series 1 and Series 40 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 15, 1988 - June 17, 1997

GRADY AND HATCH & COMPANY, INC.

BD
CRD#: 14262
STATEN ISLAND, NY
Past

September 18, 1987 - August 9, 1988

NORMANDY SECURITIES, INC.

BD
CRD#: 20071
SCARSDALE, NY
Past

February 24, 1977 - October 14, 1987

BEARE BROTHERS & CO. INC.

BD
CRD#: 596
Past

January 29, 1976 - March 22, 1977

S. B. CANTOR & CO., INC.

BD
CRD#: 1384
Past

June 26, 1975 - December 20, 1975

THE GARVIN BANETEL CORP

BD
CRD#: 1000007
Past

February 10, 1975 - October 14, 1987

BEARE BROTHERS & CO. INC.

BD
CRD#: 596
SAN MATEO, CA
Past

April 12, 1973 - January 29, 1974

KEEFE BRUVETTE & WOODS INC

BD
CRD#: 1000005
Past

April 11, 1972 - April 30, 1973

WHITE, WELD & CO. INCORPORATED

BD
CRD#: 6802
Past

August 10, 1971 - May 20, 1972

BLYTH & COMPANY INC

BD
CRD#: 1000002
Past

February 11, 1970 - August 9, 1971

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 1
Date: 6/3/1960
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 40
Date: 6/26/1972
Registered Principal Examination

Current Firm

GA
GRADY AND HATCH & COMPANY, INC.
G.H. SECURITIES & CO. | GRADY AND HATCH & COMPANY, INC.

CRD#: 14262 / SEC#: , 8-30204

BD
Cancelled by SEC on 11/01/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 05/02/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
G&H ACQUISITION CORP.OWNER
GRADY, ROBERT EDWARDOWNER226921
ALLEN, RAY ANTHONYCOMPLIANCE DIRECTOR2925054
MINERVA, JOHN DANIELPRESIDENT2702468

Disclosures

Regulatory Event17
Arbitration2

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

GRADY AND HATCH & COMPANY, INC.

CRD#: 14262

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