Jason M. Dowd
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.
Jason Michel Dowd was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2001. Jason had worked at 3 firms and has passed the Series 21 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2012 - August 15, 2012
HEIGHTS PARTNERS, INC.
July 5, 2007 - January 22, 2008
VAN DER MOOLEN SPECIALISTS USA, LLC
May 29, 2001 - July 2, 2007
BEAR WAGNER SPECIALISTS LLC
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 21
Date: 12/19/2000
NYSE Front Line Specialist ClerkSeries 25
Date: 5/18/1999
NYSE Trading Assistant ExaminationCurrent Firm
HEIGHTS PARTNERS, INC.
CRD#: 32328 / SEC#: , 8-33832
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAPPAS, JAMES THOMAS | PRESIDENT, SECRETARY AND TREASURER/CCO | 1777374 |
Disclosures
| Regulatory Event | 5 |
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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