Michael V. Lowe

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CRD#: 4318929

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.

Michael Vernon Lowe was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2001. Michael had worked at 10 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 8, 2013 - November 5, 2013

CAPE SECURITIES INC.

CRD#: 7072

LAKE GROVE, NY

Past

February 25, 2011 - December 19, 2011

CAPE SECURITIES INC.

CRD#: 7072

LAKE GROVE, NY

Past

July 14, 2008 - December 31, 2010

NWT FINANCIAL GROUP, LLC

CRD#: 140145

FARMINGDALE, NY

Past

July 25, 2007 - July 10, 2008

MAXIMUM FINANCIAL INVESTMENT GROUP, INC.

CRD#: 40096

HICKSVILLE, NY

Past

July 21, 2006 - July 20, 2007

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

HICKSVILLE, NY

Past

June 20, 2006 - August 16, 2006

GREAT EASTERN SECURITIES, INC.

CRD#: 2061

NEW YORK, NY

Past

October 20, 2003 - June 12, 2006

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

WHITESTONE, NY

Past

March 21, 2003 - November 13, 2003

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

July 3, 2002 - March 31, 2003

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

Past

April 3, 2002 - June 20, 2002

MILESTONE FINANCIAL SERVICES, INC.

CRD#: 43295

BOHEMIA, NY

Past

February 26, 2002 - April 15, 2002

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

Past

January 1, 2001 - February 27, 2002

LADENBURG CAPITAL MANAGEMENT INC.

CRD#: 14623

BETHPAGE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 1/8/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/27/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/19/2006

General Securities Principal Examination

Current Firm

CAPE SECURITIES INC.

CRD#: 7072 / SEC#: , 8-20747

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1600 Pennsylvania Avenue, Mcdonough, GA 30253

Mailing Address

1600 Pennsylvania Avenue, Mcdonough, GA 30253

Phone number

(678) 583-1120

Established

North Carolina since 02/23/1976

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
WEBB, JAMES RANDALL	CHAIRMAN	2089446
BACHMANN, KEVIN SCOTT	PRESIDENT	1406637
CIANTRO, PHILIP	CCO	2350685
CIANTRO, PHILIP	FINOP	2350685
JOKELA, JOHN KEVIN	COO	5474831

Disclosures

Regulatory Event	2
Arbitration	1

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.

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Advisor Monitoring

Firm Stability Insights

Michael V. Lowe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPE SECURITIES INC.

NWT FINANCIAL GROUP, LLC

MAXIMUM FINANCIAL INVESTMENT GROUP, INC.

NEWBRIDGE SECURITIES CORPORATION

GREAT EASTERN SECURITIES, INC.

J.P. TURNER & COMPANY, L.L.C.

GUNNALLEN FINANCIAL, INC

J.P. TURNER & COMPANY, L.L.C.

MILESTONE FINANCIAL SERVICES, INC.

CONTINENTAL BROKER-DEALER CORP.

LADENBURG CAPITAL MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/8/2001

Series 7

Date: 12/27/2000

Series 24

Date: 9/19/2006

Current Firm

CAPE SECURITIES INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CAPE SECURITIES INC.

TRUST BUT VERIFY

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