Lee P. Bowles
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.
Lee Phillip Bowles was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 2010. Lee had worked at 3 firms and has passed the Series 63, Series 37 and Series 38 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2012 - October 26, 2012
NCP NORTHLAND CAPITAL PARTNERS (USA) INC.
September 20, 2011 - April 16, 2012
VENTUM FINANCIAL (US) CORP.
March 19, 2010 - September 16, 2010
CASIMIR CAPITAL L.P.
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 37
Date: 3/18/2010
Canada Module of the General Securities Registered Representative (With Options Questions)Series 38
Date: 2/23/2009
Canada Module of the General Securities Registered Representative (Without Options Questions)Current Firm
NCP NORTHLAND CAPITAL PARTNERS (USA) INC.
CRD#: 154234 / SEC#: , 8-68619
Contact information
Documents
Red Flags
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