James D. Bowden
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.
James Duncan Bowden, who also goes by James D Bowden, James D. Bowden, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2011. James had worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2015 - March 23, 2023
NEUBERGER BERMAN BD LLC
September 2, 2015 - June 30, 2016
NEUBERGER BERMAN MANAGEMENT LLC
August 18, 2015 - March 23, 2023
NEUBERGER BERMAN BD LLC
June 1, 2011 - August 18, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 2011 - August 18, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
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
Current Firm
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 20 |
| Arbitration | 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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