Edwin R. Mowbray
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.
Edwin Roland Mowbray III, who also goes by Edwin Rowland Mowbray, was a registered financial professional .
Edwin is a previously registered financial professional and started their career in finance in 1968. Edwin had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 41, PC, Series 1 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
August 16, 2013 - January 4, 2022
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
August 16, 2013 - January 4, 2022
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
March 13, 2009 - August 27, 2013
RBC CAPITAL MARKETS, LLC
March 13, 2009 - August 27, 2013
RBC CAPITAL MARKETS, LLC
February 25, 2008 - March 13, 2009
FERRIS, BAKER WATTS, LLC
March 14, 2006 - March 13, 2009
FERRIS, BAKER WATTS, LLC
December 1, 2005 - March 17, 2006
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 16, 1989 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
October 24, 1988 - May 18, 1989
FERRIS, BAKER WATTS, LLC
June 30, 1975 - October 24, 1988
BAKER, WATTS & CO., INC.
December 4, 1968 - July 27, 1975
LEGG MASON WOOD WALKER, INCORPORATED
Primary Firm SEC Registration
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
CRD#: 319 / SEC#: 801-67696, 8-3335
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 41
Date: 4/21/1984
NYSE Allied Member ExaminationPC
Date: 5/1/1977
AMEX Put and Call ExamSeries 1
Date: 11/27/1968
Registered Representative ExaminationCurrent Firm
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
CRD#: 319 / SEC#: 801-67696, 8-3335
Contact information
SEC notice filing (7 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOLGER ASSOCIATES LLC | OWNER | |
| FOLGER 2020 TRUST FOR NEIL C. FOLGER | OWNER | |
| FOLGER 2020 TRUST FOR NICHOLAS FRY FOLGER | OWNER | |
| CURRENT, JOHN RANDALL | DIRECTOR, EXECUTIVE VICE-PRESIDENT | 2020187 |
| FOLGER, LEE MERRITT | DIRECTOR, SENIOR ADVISOR | 210685 |
| FOLGER, NEIL CLIFFORD | DIRECTOR, CHAIRMAN OF THE BOARD | 2813165 |
| FOLGER, NEIL CLIFFORD | TRUSTEE, FOLGER 2020 TRUST FOR NEIL C. FOLGER, FOLGER 2020 TRUST FOR NICHOLAS FRY FOLGER, JOHN D. FOLGER SECTION 9 TRUST | 2813165 |
| FOSTER, RICHARD STEVEN | CHIEF FINANCIAL OFFICER / CHIEF OPERATING OFFICER / CHIEF EXECUTIVE OFFICER / PRESIDENT, ROSFP | 1655391 |
| FOSTER, RICHARD STEVEN | CCO | 1655391 |
| FOSTER, RICHARD STEVEN | COO | 1655391 |
Regulatory assets under management
| Total Number of Accounts | 471 |
| AUM (Assets Under Management) | $ 857,718,871 |
Disclosures
| Regulatory Event | 2 |
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.
