Charles A. Bowman
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.
Charles Albert Bowman was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1979. Charles had worked at 11 firms and has passed the Series 63, SIE, Series 3, 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 20, 2020 - December 17, 2022
CND FINANCIAL LTD.
August 18, 2004 - July 31, 2020
AMERICAN INVESTORS GROUP, INC.
March 11, 1997 - August 17, 2004
AMERICAN INVESTORS GROUP, INC.
November 7, 1991 - March 25, 1997
A. B. CULBERTSON AND COMPANY
September 1, 1989 - March 26, 1990
MORGAN STANLEY DW INC.
December 5, 1988 - May 20, 1989
ANDERSON, BRYANT & CO.
July 5, 1988 - November 9, 1988
WILLIAM C. LANGDON AND COMPANY, INC.
January 10, 1987 - June 6, 1988
FITZGERALD, DEARMAN & ROBERTS, INC.
March 9, 1985 - January 13, 1986
HOUCHIN, ADAMSON & CO., INC.
June 11, 1981 - February 28, 1985
MORGAN STANLEY DW INC.
April 16, 1980 - June 22, 1981
KIDDER, PEABODY & CO. INCORPORATED
January 31, 1980 - April 22, 1980
UBS FINANCIAL SERVICES INC.
October 2, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
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: 12/11/1982
Interest Rate Options ExaminationCurrent Firm
CND FINANCIAL LTD.
CRD#: 132864 / SEC#: , 8-66645
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
