DS
Donald J. Stowell
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CRD#: 437810
DS
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.
Donald Joseph Stowell, who also goes by Donald J Stowell, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1969. Donald had worked at 12 firms and has passed the Series 63, Series 1 and Series 00 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Donald J Stowell
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)
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®
NoneExperience
Past
October 20, 2011 - December 12, 2013
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
BD
CRD#: 135288
PAYETTE, ID
Past
March 7, 2007 - October 21, 2011
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
PAYETTE, ID
Past
October 4, 2002 - March 7, 2007
UNITED HERITAGE FINANCIAL SERVICES, INC.
BD
CRD#: 35316
PAYETTE I, ID
Past
June 15, 1984 - October 3, 2002
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
February 7, 1984 - November 7, 1984
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
Past
June 19, 1983 - December 26, 1984
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
Past
September 8, 1982 - March 22, 1984
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
Past
March 26, 1982 - December 8, 1982
INDEPENDENT FINANCIAL PLANNERS CORPORATION
BD
CRD#: 653
Past
August 6, 1975 - January 12, 1982
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
Past
May 14, 1973 - September 2, 1975
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
April 3, 1972 - January 25, 1983
INDEPENDENT SECURITIES CORPORATION
BD
CRD#: 262
Past
March 10, 1971 - June 24, 1973
EQUITY FUNDING SECURITIES CORPORATION
BD
CRD#: 1000003
Past
July 9, 1969 - January 14, 1971
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AI
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
CRD#: 135288 / SEC#: 801-69138, 8-66905
RIA
Registered Investment Advisory firm - SEC (5/27/2008 Approved)Arizona
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)California
Registered Investment Advisory firm - SEC (6/4/2008 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/3/2008 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Florida
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/11/2008 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/16/2008 Terminated)Montana
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Nevada
Registered Investment Advisory firm - SEC (7/8/2008 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)North Dakota
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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
General Industry/Product Exam
RR
Series 1
Date: 6/23/1969
Registered Representative ExaminationPrincipal/Supervisory Exam
RR
Series 00
Date: 12/16/1971
General Securities Principal ExaminationCurrent Firm
AI
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
CRD#: 135288 / SEC#: 801-69138, 8-66905
RIA
Registered Investment Advisory firm - SEC (5/27/2008 Approved)Arizona
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)California
Registered Investment Advisory firm - SEC (6/4/2008 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/3/2008 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Florida
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/11/2008 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/16/2008 Terminated)Montana
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Nevada
Registered Investment Advisory firm - SEC (7/8/2008 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)North Dakota
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
664 S Rivershore Lane Suite 150, Eagle, ID 83616
Mailing Address
Po Box 579, Eagle, ID 83616
Phone number
(208) 489-3131
Established
Idaho since 12/30/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
34
SEC notice filing (49 States and Territories)
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,987 |
| AUM (Assets Under Management) | $ 604,888,609 |
Disclosures
| Regulatory Event | 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.
