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JO

James M. Owen

TWD SECURITIES
Petaluma, CA 94954
Some features on this profile are disabled
CRD#: 5092598
JO

Professional summary

James Michael Owen II, who also goes by James Michael Owen, Jim Michael Owen II, Jimmy Michael Owen Ii, is a registered financial professional currently at TWD SECURITIES, LLC located in Petaluma, California.

James is registered as a RR (Registered Representative) and started their career in finance in 2006. James has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Michael Owen | Jim Michael Owen Ii | Jimmy Michael Owen Ii

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Michael Owen II's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 8, 2019 - Present

TWD SECURITIES, LLC

Office #1: 1903 Cardinal Way, Petaluma, CA 94954
BD
CRD#: 143380
Petaluma, CA
Past

September 5, 2018 - August 8, 2019

FINANCIAL TELESIS INC

BD
CRD#: 31012
SAN RAFAEL, CA
Past

November 30, 2010 - September 21, 2016

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

June 1, 2006 - November 30, 2010

NRP FINANCIAL, INC.

BD
CRD#: 103717
CAPISTRANO BEACH, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(8/8/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/17/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/10/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/30/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/30/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TS
TWD SECURITIES, LLC
GOGAN & WILLIAMS | TWD SECURITIES, LLC | HEFFERNAN SECURITIES, LLC | GRP SECURITIES, LLC

CRD#: 143380 / SEC#: , 8-67559

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
1903 Cardinal Way, Petaluma, CA 94954
Mailing Address
1903 Cardinal Way, Petaluma, CA 94954
Phone number
(707) 321-3725
Established
California since 06/27/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HEFFERNAN INSURANCE BROKERSCLASS B NON VOTING MEMBER
OWEN GROUP ENTERPRISES, LLCCLASS A VOTING MEMBER
ASSURED PARTNERS GREAT PLAINS, LLCCLASS C NON VOTING MEMBER
COLLINS, ELIZABETH SARAHFINOP4714831
CONNOR & GALLAGHER BENEFIT SERVICES, INC.CLASS C NON VOTING MEMBER
GOULD, COSMO CHARLESMANAGER, CHIEF COMPLIANCE OFFICER5033874
HB RETIREMENT PLANS, LLCCLASS C NON VOTING MEMBER
HILB GROUP RETIREMENT SERVICES, LLCCLASS C NON VOTING MEMBER
HOLDEN MANAGEMENT SERVICES, INC.CLASS C NON VOTING MEMBER
KELLY INVESTMENT SERVICES, LLCCLASS C NON VOTING MEMBER
MY 360 WEALTH MANAGEMENT GROUP, INC.CLASS C NON VOTING MEMBER
RETIREMENT PLAN ANALYTICS, LLCCLASS C NON VOTING MEMBER
THE JAMES B. OSWALD COMPANYCLASS C NON VOTING MEMBER
WOODRUFF-SAWYER & CO.CLASS C NON VOTING MEMBER

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.

Company Information

TWD SECURITIES, LLC

CRD#: 143380Petaluma, CA 94954

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