John R. Lowe
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.
John Robert Lowe, who also goes by John R Lowe, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 6 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
November 20, 2014 - December 21, 2022
AVANTAX ADVISORY SERVICES
November 7, 2014 - December 21, 2022
AVANTAX INVESTMENT SERVICES, INC.
September 17, 2009 - November 19, 2014
QUESTAR ASSET MANAGEMENT, INC.
December 1, 2006 - November 19, 2014
QUESTAR CAPITAL CORPORATION
October 19, 2001 - December 1, 2006
USALLIANZ SECURITIES, INC.
March 19, 1996 - July 15, 1998
NATIONAL PLANNING CORPORATION
March 30, 1994 - December 31, 1995
INVESTORS CAPITAL CORP.
March 27, 1981 - March 21, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 27, 1981 - March 21, 1994
SIGNATOR INVESTORS, 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
Series 62
Date: 11/5/2008
Corporate Securities Limited Representative ExaminationCurrent Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
