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Timothy John Bowen

CFA
CRD# 4349856·Registered 2001 - 2020
Previously Registered: Being a previously registered professional could mean that Timothy 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.

Professional Summary

Timothy John Bowen, CFA was a registered financial advisor. Timothy was a previously registered financial professional and started their career in finance 2001 - 2020. Timothy had worked at 5 firms and has passed the Series 66, Series 31 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Credentials

CFA
Chartered Financial Analyst

Years of Experience

25 years in the financial services industry

Current & Past Employments

THEMATAL CAPITAL MANAGEMENT, LLC·CRD# 153964
RIA
Woodway, WA
December 17, 2010 - December 31, 2020
QUELLOS FUND SERVICES, LLC·CRD# 137247
BD
Seattle, WA
October 24, 2005 - December 18, 2006
QUELLOS PRIVATE CAPITAL MARKETS, L.P.·CRD# 135935
RIA
Seattle, WA
July 14, 2005 - December 18, 2006
QUELLOS CAPITAL MANAGEMENT LP·CRD# 106683
RIA
Seattle, WA
May 13, 2004 - December 18, 2006
CFT SECURITIES, LLC·CRD# 46226
BD
Princeton, NJ
October 10, 2001 - October 24, 2005

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Current Firm

TC
THEMATAL CAPITAL MANAGEMENT, LLC

THEMATAL CAPITAL MANAGEMENT, LLC | THEMATAL INVESTMENTS CORP.

CRD#: 153964

Contact Information

Main Address

Edmonds, WA

Documents

Latest Form ADV

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Dec 2001About the Series 66 exam

Series 31 — Futures Managed Funds Examination

Passed Jan 2002About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Oct 2001About the Series 7 exam

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CRS (Client Relationship Summary)

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

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