Thomas L. Bowden
Professional summary
Thomas Lloyd Bowden, who also goes by Thomas Lloyd Bowden Jr, Thomas Lloyd Bowden, is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Rockville, Maryland.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2013. Thomas has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 50 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Lloyd Bowden's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 30, 2019 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 11140 Rockville Pike Suite 630, Rockville, MD 20852December 3, 2013 - May 22, 2019
BB&T SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/30/2019)
(5/30/2019)
Exams
Series 79TO
Date: 12/13/2019
Investment Banking Registered Representative ExaminationFINRA
Current Firm
HERBERT J. SIMS & CO, INC.
CRD#: 3420 / SEC#: , 8-3315
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEKSYS CORPORATION | OWNER | |
| DIAMOND, JASON HOWARD | CHIEF FINANCIAL OFFICER/MANAGING PRINCIPAL | 2320884 |
| RULNICK, AARON M | DIRECTOR | 3149315 |
| HEBERT, VALERIE | CHIEF COMPLIANCE OFFICER | 4007252 |
| MULLANE, DANIEL JOSEPH | MANAGING PRINCIPAL | 1246435 |
| SANDS, R JEFFREY | DIRECTOR | 4285040 |
| SIMS, WILLIAM BARNETT | PRESIDENT/CEO | 425019 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
