Brendan J. Bowers
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.
Brendan Joseph Bowers was a registered financial professional .
Brendan is a previously registered financial professional and started their career in finance in 1999. Brendan had worked at 3 firms and has passed the Series 63, Series 55, Series 7 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
March 1, 2012 - July 10, 2012
SECUREVEST FINANCIAL GROUP
February 25, 2005 - November 18, 2011
C. L. KING & ASSOCIATES, INC.
September 13, 1999 - February 22, 2005
NEEDHAM & COMPANY, LLC
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
Series 55
Date: 7/19/2007
Limited Representative-Equity Trader ExamCurrent Firm
SECUREVEST FINANCIAL GROUP
CRD#: 10100 / SEC#: , 8-26030
Contact information
Disclosures
| Regulatory Event | 4 |
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.
