Richard G. Rowe
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.
Richard George Rowe was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1970. Richard had worked at 6 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 1995 - November 4, 2003
ROWE FINANCIAL SERVICES, INC.
November 13, 1990 - May 20, 1997
OAKBRIDGE FINANCIAL SERVICES
December 7, 1981 - October 26, 1990
SMITH, MOORE & CO.
May 6, 1971 - January 6, 1982
STIX & CO., INC.
December 17, 1970 - June 6, 1971
ST LOUIS SECURITIES, INC.
May 14, 1970 - January 1, 1971
ROWE-LEIWEKE INC
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 1
Date: 12/24/1963
Registered Representative ExaminationSeries 00
Date: 4/11/1970
General Securities Principal ExaminationCurrent firm
No current employment
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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