Richard M. Bowman
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.
Richard Michael Bowman, who also goes by Richard M Bowman, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1980. Richard had worked at 9 firms and has passed the Series 63, Series 3, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2002 - June 4, 2008
SII INVESTMENTS, INC.
October 1, 2002 - October 18, 2002
NATIONAL SECURITIES CORPORATION
January 23, 1991 - October 1, 2002
LISS FINANCIAL SERVICES
September 3, 1985 - December 8, 1990
PRUDENTIAL EQUITY GROUP, LLC
October 19, 1982 - August 27, 1985
MORGAN STANLEY DW INC.
June 28, 1982 - October 29, 1982
LEHMAN BROTHERS INC.
March 26, 1980 - March 31, 1982
AMERICAN EXPRESS FINANCIAL CORPORATION
March 26, 1980 - March 31, 1982
AMERIPRISE FINANCIAL SERVICES, LLC
March 26, 1980 - March 31, 1982
IDS LIFE INSURANCE COMPANY
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
Series 1
Date: 3/19/1980
Registered Representative ExaminationCurrent Firm
SII INVESTMENTS, INC.
CRD#: 2225 / SEC#: 801-54935, 8-13963
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP, COO | 2770565 |
| KINART, TODD MICHAEL | SII PRESIDENT & CEO/DIRECTOR | 2723511 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND SII SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
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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