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EL

Emma C. Lowry

FMI CAPITAL ADVISORS
Denver, CO 80206
Some features on this profile are disabled
CRD#: 6993011
EL

Professional summary

Emma Catherine Lowry, who also goes by Emma Catherine Lowry, Emma C Lowry, Emma Lowry, is a registered financial professional currently at FMI CAPITAL ADVISORS, INC. located in Denver, Colorado.

Emma is registered as a RR (Registered Representative) and started their career in finance in 2020. Emma has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Emma Catherine Lowry | Emma C Lowry | Emma Lowry

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) - BD

Click below to view Emma Catherine Lowry's 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®
None

Experience

Current

April 15, 2021 - Present

FMI CAPITAL ADVISORS, INC.

Office #1: 44 Cook St Ste 900, Denver, CO 80206
BD
CRD#: 129262
Denver, CO
Past

August 15, 2020 - April 21, 2021

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
California
(5/22/2021)
RR
Colorado
(4/15/2021)
RR
Florida
(4/15/2021)
RR
North Carolina
(5/22/2021)
RR
Texas
(5/22/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 5/22/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/15/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/8/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FMI CAPITAL ADVISORS, INC.
FMI CAPITAL ADVISORS, INC.

CRD#: 129262 / SEC#: , 8-66206

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
44 Cook St Ste 900, Denver, CO 80206-5827
Mailing Address
44 Cook St Ste 900, Denver, CO 80206-5827
Phone number
(303) 377-4740
Established
Colorado since 07/30/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FMI CORPORATIONPARENT CO.
HUCKABY, TIMOTHY DONPRESIDENT4596179
THORNTON, STEVEN LEECCO / FINOP4496384

Disclosures

Regulatory Event2

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.

Company Information

FMI CAPITAL ADVISORS, INC.

CRD#: 129262Denver, CO 80206

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