Stephen R. Lowry
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.
Stephen Roger Lowry, who also goes by Stephen R Lowry, Steve Lowry, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1980. Stephen had worked at 8 firms and has passed the 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 15, 1990 - July 9, 1990
ADVEST, INC.
September 29, 1988 - January 20, 1990
ANDERSON, BRYANT & CO.
October 21, 1987 - October 13, 1988
FIRST UNITED SECURITIES GROUP OF CALIFORNIA
November 1, 1984 - October 1, 1987
RAYMOND JAMES & ASSOCIATES, INC.
April 23, 1984 - October 16, 1984
HENDERSON, FEW & CO.
February 14, 1983 - April 12, 1984
E. G. FRANCES CO., INC.
February 27, 1982 - January 26, 1983
HERETH, ORR & JONES, INC.
March 21, 1980 - March 2, 1982
FIRST CITIZENS MUNICIPAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ADVEST, INC.
CRD#: 10 / SEC#: , 8-21409
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVEST GROUP, INC. | PARENT COMPANY OF ADVEST, INC. | |
| DIAMOND, JASON HOWARD | C.F.O. | 2320884 |
| DOYLE, SCOTT JOHN | SROP | 2100219 |
| FREITAG, WILLIAM CHRISTIAN | C.C.O. | 1732667 |
| HOROWITZ, DAVID ADAM | DIRECTOR | 1827880 |
| KUCKRO, LEE GERARD | C.L.O. | 1318309 |
| MCINTOSH, LAWRENCE FORBES | C.R.O.P. | 1571279 |
| MULLANE, DANIEL JOSEPH | PRESIDENT AND CEO | 1246435 |
| WELLINGTON, JOHN HOLMES SR | DIRECTOR - C.O.O. | 1314741 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 53 |
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.
