Todd W. Cowle
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.
Todd William Cowle was a registered financial advisor .
Todd is a previously registered financial advisor and started their career in finance in 1981. Todd had worked at 10 firms and has passed the Series 66, 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 13, 2003 - June 22, 2009
SOUTHWEST TEXAS CAPITAL, L.L.C
April 11, 2002 - January 7, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 4, 2001 - January 7, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 3, 1998 - January 8, 2001
RBC CAPITAL MARKETS, LLC
March 25, 1997 - October 8, 1998
FIRST UNION CAPITAL MARKETS CORP.
December 2, 1994 - March 26, 1997
RODMAN & RENSHAW INC.
September 8, 1992 - November 16, 1994
UBS FINANCIAL SERVICES INC.
September 14, 1984 - August 31, 1992
J.P. MORGAN SECURITIES LLC
August 24, 1982 - September 27, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 5, 1981 - August 23, 1982
JII SECURITIES INC.
February 23, 1981 - May 1, 1981
VERRILLI ALTSCHULER SCHWARTZ INC.
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
SOUTHWEST TEXAS CAPITAL, L.L.C
CRD#: 104200 / SEC#: , 8-52670
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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