Thomas K. Rowley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Kim Rowley SR, who also goes by Thomas Kim Rowley, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1980. Thomas had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2012 - December 18, 2014
ROWLEY ASSET MANAGEMENT LLC
March 11, 1986 - October 9, 1987
FIRST AFFILIATED SECURITIES, INC.
February 17, 1983 - April 17, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 4, 1981 - February 14, 1983
RAYMOND JAMES & ASSOCIATES, INC.
January 18, 1980 - December 11, 1981
KASHNER DAVIDSON SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
ROWLEY ASSET MANAGEMENT LLC
CRD#: 158875 / SEC#:
Contact information
Red Flags
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