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DB

Donald N. Bower

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CRD#: 5926647
DB

Professional summary

Donald Nelson Bower III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Donald is a previously registered financial professional and started their career in finance in 2011. Prior to being barred, Donald had worked at 2 firms, which includes INVEST FINANCIAL CORPORATION, EDWARD JONES.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Donald Nelson Bower

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 8, 2016 - September 29, 2017

INVEST FINANCIAL CORPORATION

RIA
CRD#: 12984
ELMIRA, NY
Past

February 8, 2016 - September 29, 2017

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
ELMIRA, NY
Past

October 10, 2011 - December 9, 2015

EDWARD JONES

RIA
CRD#: 250
CLAREMONT, CA
Past

July 15, 2011 - December 9, 2015

EDWARD JONES

BD
CRD#: 250
CLAREMONT, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/29/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/29/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/14/2011
General Securities Representative Examination

Current Firm

IF
INVEST FINANCIAL CORPORATION
ANDROSCOGGIN FINANCIAL SERVICES | ISFA CORPORATION | INVEST FINANCIAL CORPORATION | INVEST FINANCIAL CORP | IFC HOLDINGS, INC. | GORHAM FINANCIAL SERVICES | FIRST FEDERAL WEALTH MANAGEMENT

CRD#: 12984 / SEC#: 801-56411, 8-27691

BD
Terminated by SEC on 09/08/2018
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Contact information

Main Address
5555 Grande Market Drive Suite 300, Appleton, WI 54913-8403
Mailing Address
Phone number
Established
Delaware since 02/12/1982
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

TERMINATED IFC FORM ADV PART 2A (3/29/2018)
TERMINATED IFC COMBO WRAP FEE PROGRAM BROCHURE (3/29/2018)
TERMINATED IFC CONSULTING SERVICES BROCHURE (3/29/2018)

Direct owners and executive officers

NamePositionCRD#
NATIONAL PLANNING HOLDINGS, INC.SHAREHOLDER
COLEMAN, CAREN LESLIEVICE PRESIDENT4298287
COLLINS, MAURA KATHRYNSENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS4761732
DOWDEN, STEVEN HOWARDPRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO2666894
GUNDERSON, GERRY ANPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS2448501
HARRIS, BRADLEY OLANDIRECTOR6589930
LAMBRECHTS, VANESSA MARIE RODRIGUEZVP, FINOP, CONTROLLER4800775
MCCALLOP, PATRICIA ANNNPH AND NPC SVP & CHIEF COMPLIANCE OFFICER5059176
MILLER, JAMES PETERNPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST1955960
WHITED, SANDRA RENEECCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE2444134

Disclosures

Regulatory Event11
Arbitration20
Bond2

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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Company Information

INVEST FINANCIAL CORPORATION

CRD#: 12984

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