Joseph R. Stowell
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.
Joseph Rawley Stowell JR, who also goes by Joe Stowell, Joseph Rawley Stowell, Joseph Rawley Stowell Jr Jr, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1978. Joseph had worked at 9 firms and has passed the Series 63, SIE, Series 5 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 28, 2012 - September 11, 2017
SECURITIES AMERICA, INC.
August 3, 2006 - December 5, 2012
EAGLE ONE INVESTMENTS, LLC
March 19, 2004 - July 25, 2006
MORGAN STANLEY DW INC.
November 19, 1999 - March 22, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 15, 1997 - December 3, 1999
SII INVESTMENTS, INC.
November 3, 1993 - July 15, 1997
INVESTMENT CENTERS OF AMERICA, INC.
September 4, 1990 - November 29, 1993
WELLS FARGO CLEARING SERVICES, LLC
February 16, 1988 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
July 16, 1979 - March 31, 1988
LEHMAN BROTHERS INC.
May 30, 1978 - July 16, 1979
LOEB PARTNERS
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: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
