William W. Bowden
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.
William Wilder Bowden, who also goes by Bill Bowden, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1980. William had worked at 12 firms and has passed the Series 63, SIE, Series 5, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2007 - December 6, 2019
OPPENHEIMER & CO. INC.
March 28, 2005 - October 24, 2007
VINING-SPARKS IBG, LLC
March 28, 2005 - October 24, 2007
ICBA SECURITIES
January 17, 2001 - April 4, 2005
HOWE BARNES HOEFER & ARNETT, INC.
March 3, 1999 - November 20, 2001
LOOP CAPITAL MARKETS LLC
September 20, 1997 - September 20, 1997
FITZGERALD, DAVIS & ASSOCIATES, L.P.
July 21, 1997 - December 2, 1998
BANC ONE CAPITAL MARKETS, INC.
April 19, 1993 - July 29, 1997
FITZGERALD, DAVIS & ASSOCIATES, L.P.
September 4, 1990 - April 16, 1993
WELLS FARGO CLEARING SERVICES, LLC
March 6, 1989 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
May 11, 1988 - March 20, 1989
CIBC WORLD MARKETS CORP.
May 21, 1987 - January 14, 1988
KIDDER, PEABODY & CO. INCORPORATED
March 8, 1985 - July 29, 1986
BLUNT ELLIS & LOEWI INCORPORATED
May 22, 1980 - February 15, 1985
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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 5
Date: 10/22/1981
Interest Rate Options ExaminationCurrent Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
