Dave John-michael Rowe
Professional Summary
Dave John-michael Rowe, who also goes by David John-michael Rowe Mr, David John-michael Rowe, David Rowe, was a registered financial advisor. Dave was a previously registered financial professional and started their career in finance 2010 - 2022. Dave had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David John-Michael Rowe Mr, David John-Michael Rowe, David Rowe
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
16 years in the financial services industry
Current & Past Employments
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Current Firm
CROWN CAPITAL SECURITIES, L.P. | ERIC EQUITIES, INC. | DELTA BROKER HOLDINGS, LLC
Contact Information
Main Address
725 Town & Country Road Suite 530, Orange, CA 92868Phone Number
(714) 547-9481Established
Delaware since 01/04/1999Firm Type
PartnershipFiscal Year End
DecemberFirm Size
Small# of Employees
164Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | — |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | — |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory Assets Under Management
Total Number of Accounts
5,654AUM (Assets Under Management)
$1,223,108,240Disclosures
Regulatory Event
8Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2010About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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