James R. Gow
Professional summary
James Robert Gow SR, who also goes by James Robert Gow, Jim Robert Gow Sr, Jim Robert Gow, James Gowsr, is a registered financial professional currently at M1 FINANCE LLC located in Chicago, Illinois.
James is registered as a RR (Registered Representative) and started their career in finance in 2005. James has worked at 7 firms and has passed the Series 66, Series 99TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Robert Gow SR's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 29, 2023 - Present
M1 FINANCE LLC
Office #1: 200 N Lasalle Street, Suite 810, Chicago, IL 60601October 12, 2022 - March 10, 2023
VALIC FINANCIAL ADVISORS, INC.
July 8, 2014 - August 24, 2021
AXOS CLEARING LLC
May 28, 2014 - July 7, 2014
MORGAN STANLEY
April 15, 2013 - January 2, 2014
AXOS CLEARING LLC
August 20, 2012 - April 4, 2013
NORTHERN LIGHTS DISTRIBUTORS, LLC
July 15, 2010 - July 20, 2012
NORTHERN LIGHTS DISTRIBUTORS, LLC
April 11, 2006 - August 2, 2007
NATIONAL INVESTOR SERVICES CORP.
October 6, 2005 - September 10, 2008
TD AMERITRADE CLEARING, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/29/2023)
(5/13/2024)
(8/17/2023)
(3/29/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 7/14/2006
Limited Representative-Equity Trader ExamFINRA
Current Firm
M1 FINANCE LLC
CRD#: 281242 / SEC#: , 8-69670
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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