Joseph Fowler

402 FINANCIAL

LINCOLN, NE

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CRD#: 7470183

Professional summary

Joseph Fowler, who also goes by Joe Temple Fowler, is a registered financial advisor currently at 402 FINANCIAL located in Lincoln, Nebraska.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Joseph has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Temple Fowler

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.

1. Lawnscape Inc; Not Investment Related; 5700 Cornhusker Highway Lincoln, NE 68507; Labor; Approx. 4hrs/month; none during trading hours. Occasional manual labor on weekends e.g. shoveling snow 2. Volunteer Income Tax Assistance(VITA); Not Investment Related; University of Nebraska-Lincoln 1400 R Street Lincoln, NE 68588-0144; Tax Preparer; Seasonal; none during trading hoursPrepare tax returns for low-income Lincoln residents during spring tax filing season.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Fowler'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

July 9, 2024 - Present

402 FINANCIAL

RIA

CRD#: 331726

LINCOLN, NE

Past

November 1, 2022 - July 8, 2024

PLAN A WEALTH, LLC

RIA

CRD#: 287860

LINCOLN, NE

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Nebraska
(7/9/2024)

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 65

Date: 5/6/2022

Uniform Investment Adviser Law Examination

Current Firm

402 FINANCIAL

402 FINANCIAL | YELLOW FINCH, LLC

CRD#: 331726 / SEC#:

Nebraska

Registered Investment Advisory firm - (6/10/2024 Approved)

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Contact information

Main Address

Lincoln, NE

Mailing Address

Phone number

(402) 764-0157

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	36
AUM (Assets Under Management)	$ 2,507,285

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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Joseph Fowler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Fowler's CRS (Customer Relationship Summary).

Certified licenses

Experience

402 FINANCIAL

PLAN A WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/6/2022

Current Firm

402 FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

402 FINANCIAL

TRUST BUT VERIFY

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