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PF

Philip B. Fowler

GRIFFIN CAPITAL SECURITIES
New York, NY 10019-2701
Some features on this profile are disabled
CRD#: 3247765
PF

Professional summary

Philip Brett Fowler, who also goes by Brett Fowler, is a registered financial professional currently at GRIFFIN CAPITAL SECURITIES, LLC located in New York, New York and APOLLO GLOBAL SECURITIES, LLC located in New York, New York.

Philip is registered as a RR (Registered Representative) and started their career in finance in 2002. Philip has worked at 10 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brett Fowler

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) - BD

Click below to view Philip Brett Fowler'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

January 5, 2022 - Present

GRIFFIN CAPITAL SECURITIES, LLC

Office #1: 9 West 57th Street, New York, NY 10019-2701
BD
CRD#: 37739
New York, NY
Current

August 16, 2024 - Present

APOLLO GLOBAL SECURITIES, LLC

Office #1: 9 West 57th Street 8th Fl, New York, NY 10019-2701
BD
CRD#: 153502
New York, NY
Current

September 27, 2024 - Present

ATHENE SECURITIES, LLC

Office #1: 7700 Mills Civic Parkway, West Des Moines, IA 50266
BD
CRD#: 36867
West Des Moines, IA
Past

December 15, 2020 - November 2, 2021

HRC FUND ASSOCIATES, LLC

BD
CRD#: 142846
NEW YORK, NY
Past

January 24, 2020 - December 17, 2020

FORGE SECURITIES LLC

BD
CRD#: 134596
SAN FRANCISCO, CA
Past

August 13, 2018 - December 31, 2019

CR CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 171776
NEWPORT BEACH, CA
Past

July 11, 2006 - August 3, 2018

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
CHARLOTTE, NC
Past

June 2, 2006 - July 12, 2006

M HOLDINGS SECURITIES, INC.

BD
CRD#: 43285
LOS ANGELES, CA
Past

August 31, 2005 - June 6, 2006

TBG FINANCIAL

BD
CRD#: 26984
LOS ANGELES, CA
Past

March 19, 2002 - December 10, 2004

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alaska
(10/2/2023)
RR
Arizona
(10/2/2023)
RR
California
(1/5/2022)
RR
Colorado
(10/2/2023)
RR
Hawaii
(3/2/2022)
RR
Idaho
(10/2/2023)
RR
Montana
(10/2/2023)
RR
Nevada
(10/2/2023)
RR
New Mexico
(10/2/2023)
RR
Oregon
(10/2/2023)
RR
Utah
(10/2/2023)
RR
Washington
(10/2/2023)
RR
Wyoming
(10/2/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/9/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/19/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/18/2002
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ATHENE SECURITIES, LLC
ATHENE SECURITIES IOWA, LLC | IL SECURITIES, LLC | IL SECURITIES, INC. | IL SECURITIES LLC | AVIVA SECURITIES, LLC | ATLAS SP SECURITIES | ATHENE SECURITIES, LLC

CRD#: 36867 / SEC#: , 8-47499

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Mailing Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Phone number
(515) 342-4616
Established
Indiana since 04/21/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ATHENE USA CORPORATIONATHENE SECURITIES, LLC
BATTERSON, CHAD MPRESIDENT, COO, FINOP4880009
BURTON, SHEILA SUECHIEF COMPLIANCE OFFICER
GEYELIN, ANTONY LAUSSAT IIIVICE PRESIDENT4605388
HUNT, ANGELA JEANCOMPLIANCE OFFICER7192588

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

ATHENE SECURITIES, LLC

CRD#: 36867New York, NY 10019-2701

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