Jeffery V. Rowe
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.
Jeffery Vernon Rowe, who also goes by Jeff Rowe, Jeffery Vernon Rowe, Jeffrey Vernon Rowe, was a registered financial professional .
Jeffery is a previously registered financial professional and started their career in finance in 2005. Jeffery had worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53 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 21, 2017 - August 23, 2021
WADDELL & REED
September 5, 2017 - August 23, 2021
WADDELL & REED
November 20, 2014 - August 18, 2017
PRINCIPAL SECURITIES, INC.
November 19, 2014 - August 18, 2017
PRINCIPAL SECURITIES, INC.
June 9, 2014 - October 6, 2014
SECURE INVESTMENT MANAGEMENT, LLC
September 16, 2013 - March 10, 2014
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
November 23, 2010 - February 27, 2013
CREATIVEONE SECURITIES, LLC
June 12, 2007 - August 13, 2008
EDWARD JONES
June 12, 2007 - August 13, 2008
EDWARD JONES
July 13, 2006 - June 12, 2007
USA FINANCIAL SECURITIES LLC
February 8, 2005 - September 16, 2005
HORNOR, TOWNSEND & KENT, 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
