James John Dowd
Professional Summary
James John Dowd is a registered financial advisor currently at TRIUMPH CAPITAL MARKETS, LLC located in Chicago, Illinois. James is registered as a RR (Registered Representative) and started their career in finance in 2003. James has worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 79 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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Years of Experience
23 years in the financial services industry
Current & Past Employments
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Current Firm
TRIUMPH CAPITAL MARKETS | TRIUMPH CAPITAL MARKETS, LLC
Contact Information
Main Address
150 North Riverside Plaza Suite 5200, Chicago, IL 60606Mailing Address
150 North Riverside Plaza Suite 5200, Chicago, IL 60606Phone Number
(312) 705-2788Established
Delaware since 05/08/2023Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (5 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
(5/21/2024)
(8/22/2024)
(5/21/2024)
(5/24/2024)
(5/3/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Dec 2011About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James John Dowd's CRS (Customer Relationship Summary).
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