Eric S. Bowen

CETERA INVESTMENT ADVISERS LLC

OVERLAND PARK, KS 66210

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CRD#: 5769668

Professional summary

Eric S Bowen, CIMA® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Overland Park, Kansas and CETERA ADVISORS LLC located in Overland Park, Kansas.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Eric has worked at 9 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. NAME OF OTHER BUSINESS: PROSPERITY NETWORK OF ADVISORS LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 05/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric S Bowen's CRS (Customer Relationship Summary).

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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 10955 Lowell Ave Ste 900 910, 920, 100, And 200, Overland Park, KS, 66210

RIA

CRD#: 105644

OVERLAND PARK, KS

Current

May 17, 2023 - Present

CETERA ADVISORS LLC

Office #1: 10955 Lowell Ave Ste 900 910, 920, 100, & 200, Overland Park, KS, 66210

CRD#: 10299

Overland Park, KS

Past

June 7, 2023 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

February 19, 2014 - April 20, 2021

WADDELL & REED

RIA

CRD#: 866

OVERLAND PARK, KS

Past

February 19, 2014 - April 20, 2021

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

February 19, 2014 - April 30, 2021

IVY DISTRIBUTORS, INC.

CRD#: 16496

OVERLAND PARK, KS

Past

March 25, 2013 - February 12, 2014

MONTAGE INVESTMENTS, LLC

RIA

CRD#: 152607

LEAWOOD, KS

Past

March 20, 2013 - February 12, 2014

MSEC, LLC

CRD#: 154327

LEAWOOD, KS

Past

March 15, 2011 - March 19, 2013

TD AMERITRADE, INC.

CRD#: 7870

OVERLAND PARK, KS

Past

March 2, 2011 - March 19, 2013

TD AMERITRADE, INC.

RIA

CRD#: 7870

OVERLAND PARK, KS

Past

March 2, 2011 - March 19, 2013

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

OVERLAND PARK, KS

Past

April 30, 2010 - February 24, 2011

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

OVERLAND PARK, KS

Past

April 7, 2010 - February 24, 2011

EQUITABLE ADVISORS, LLC

CRD#: 6627

OVERLAND PARK, KS

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Kansas
(5/31/2023)

IAR

Kansas
(3/21/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/29/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/17/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/5/2010

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Eric S. Bowen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric S Bowen's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

WADDELL & REED

WADDELL & REED

IVY DISTRIBUTORS, INC.

MONTAGE INVESTMENTS, LLC

MSEC, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/29/2010

Series 7TO

Date: 5/17/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/5/2010

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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