Richard M. Cowden
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.
Richard Michael Cowden was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1967. Richard had worked at 11 firms and has passed the Series 66, Series 63, Series 5, Series 1, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2013 - December 31, 2013
J. W. COLE ADVISORS, INC.
May 10, 2013 - December 31, 2013
J.W. COLE FINANCIAL, INC.
June 3, 2008 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
June 2, 2008 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
December 12, 2003 - June 5, 2008
FIRST ALLIED SECURITIES, INC.
December 9, 2003 - June 5, 2008
FIRST ALLIED SECURITIES, INC.
July 8, 1997 - December 15, 2003
UBS FINANCIAL SERVICES INC.
January 19, 1987 - December 15, 2003
UBS FINANCIAL SERVICES INC.
May 13, 1983 - January 29, 1987
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
February 24, 1978 - May 31, 1983
MORGAN STANLEY DW INC.
January 28, 1974 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
July 2, 1973 - March 28, 1974
DUPONT WALSTON, INCORPORATED
February 9, 1971 - July 2, 1973
DUPONT GLORE FORGAN INCORPORATED
April 17, 1967 - February 22, 1971
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
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 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 1
Date: 4/13/1967
Registered Representative ExaminationSeries 12
Date: 5/21/1983
NYSE Branch Manager ExaminationCurrent Firm
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
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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