Brooke Bowen

BFINANCE US LTD.

LONDON, EC4R 1BN

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CRD#: 7123236

Professional summary

Brooke Bowen is a registered financial professional currently at BFINANCE US LTD. .

Brooke is registered as a RR (Registered Representative) and started their career in finance in 2019. Brooke has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Brooke Bowen'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 1, 2026 - Present

BFINANCE US LTD.

Office #1: 36 Queen Street Floor 2, London, EC4R 1BN

RIA

CRD#: 159903

LONDON,

Past

February 6, 2025 - April 7, 2026

MTC WEALTH MANAGEMENT

RIA

CRD#: 305308

Chicago, IL

Past

March 3, 2020 - January 24, 2024

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

CHICAGO, IL

Past

November 14, 2019 - January 24, 2024

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BFINANCE US LTD.

CRD#: 159903 / SEC#: 801-113782, 8-69021

RIA

Registered Investment Advisory firm - SEC (11/6/2020 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

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

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

Illinois
(4/1/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/2/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/14/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/1/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

BFINANCE US LTD.

CRD#: 159903 / SEC#: 801-113782, 8-69021

RIA

Registered Investment Advisory firm - SEC (11/6/2020 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

2nd Floor Floor 2, London, EC4R 1BN

Mailing Address

2nd Floor 36 Queen Street, London, IL, EC4R 1BN

Phone number

+44 20 7747 8600

Established

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

06 20 2025 BFI FORM ADV PART 2A FINAL (6/20/2025)

Direct owners and executive officers

Name	Position	CRD#
BFINANCE INTERNATIONAL LIMITED	PARENT COMPANY
GEORGE, KENNETH RONALD	FINOP/CFO	2643369
GERVAISE-JONES, SAMUEL	PRINCIPAL	6004382
VAFAI, DAVID	CEO/CCO	2647591

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.

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Advisor Monitoring

Firm Stability Insights

Brooke Bowen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brooke Bowen's CRS (Customer Relationship Summary).

Certified licenses

Experience

BFINANCE US LTD.

MTC WEALTH MANAGEMENT

NUVEEN ASSET MANAGEMENT, LLC

NUVEEN SECURITIES, LLC

Primary Firm SEC Registration

BFINANCE US LTD.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/2/2020

Series 7TO

Date: 11/14/2019

SIE

Date: 8/1/2019

FINRA

Current Firm

BFINANCE US LTD.

Contact information

FINRA licenses (2 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

BFINANCE US LTD.

TRUST BUT VERIFY

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