DB
Daniel M. Bowen
WEDBUSH SECURITIES
San Francisco, CA 94111
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CRD#: 4260386
DB
Professional summary
Daniel Martin Bowen is a registered financial professional currently at WEDBUSH SECURITIES INC. located in San Francisco, California and WEDBUSH & CO., LLC located in Greenwich, Connecticut.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2001. Daniel has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Martin Bowen's 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®
NoneExperience
Current
October 1, 2015 - Present
WEDBUSH SECURITIES INC.
Office #1: 600 Montgomery Street 29th Floor, San Francisco, CA 94111RIA
BD
CRD#: 877
San Francisco, CA
Current
February 7, 2024 - Present
WEDBUSH & CO., LLC
BD
CRD#: 328492
Greenwich, CT
Past
June 16, 2004 - September 28, 2015
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
November 12, 2002 - July 19, 2004
MCFARLAND DEWEY SECURITIES CO., LLC
BD
CRD#: 25768
NEW YORK, NY
Past
February 5, 2001 - February 1, 2002
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
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
Arizona(1/3/2022)
RR
California(12/15/2022)
RR
Colorado(1/3/2022)
RR
Connecticut(1/3/2022)
RR
Florida(1/3/2022)
RR
Illinois(1/3/2022)
RR
Maryland(1/3/2022)
RR
Massachusetts(1/3/2022)
RR
Michigan(4/7/2025)
RR
Minnesota(10/1/2015)
RR
New Jersey(1/3/2022)
RR
New York(1/3/2022)
RR
North Carolina(1/3/2022)
RR
Pennsylvania(1/3/2022)
RR
Texas(1/3/2022)
RR
Utah(1/3/2022)
RR
Virginia(1/3/2022)
RR
Washington(1/3/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 4/12/2024
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
W&
WEDBUSH & CO., LLC
WEDBUSH & CO., LLC
CRD#: 328492 / SEC#: , 8-71158
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
142 West 57th Street 12th Floor, New York, NY, 10019
Mailing Address
142 West 57th Street 12th Floor, New York, NY, 10019
Phone number
(212) 931-7088
Established
Delaware since 06/23/2021
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (20 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | SOLE MEMBER | |
| BILLINGS, DANIEL ERIC | MANAGER | 4568232 |
| BULGER, MARK ANDREW | CCO | 5063497 |
| DEMPSEY, FRANCIS BURKE | PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | MANAGER AND GENERAL COUNSEL | 1688071 |
| HULTGREN, DONALD WAYNE | MANAGER | 1475369 |
| KIRKMAN, SAMANTHA | CFO, PFO, COO & POO | 6892438 |
| WEDBUSH, GARY LANCE | MANAGER | 2234455 |
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.
