Best Investors Account Sign in

Philip Edward Cowen

Wells Fargo Clearing Services, LLC

Chicago, IL

Claim This Profile
Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-09-13
IL RA APPROVED 2016-01-04
  • TX RA
    APPROVED
    Since 2022-09-13
  • IL RA
    APPROVED
    Since 2016-01-04

Branch Locations

30 S Wacker Dr Ste 4000 [Gs-Rbo], Chicago, IL 60606 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Chicago IL 01/2016 11/2016
Wells Fargo Clearing Services, Llc Chicago IL 11/2016 Present
Previous Registrations
  • 2014-09-08 → 2016-01-28
    Credit Suisse Securities (Usa) Llc
    Chicago, IL
  • 2008-10-01 → 2012-05-15
    J.P. Morgan Securities Llc
    Mount Prospect, IL
    Chicago, IL
    Winnetka, IL
  • 2007-07-09 → 2008-10-01
    J.P. Morgan Securities Inc.
    Mount Prospect, IL
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-19
  • S66 Uniform Combined State Law Examination
    2007-06-19
Designations
Other Names
  • Phillip Cowen
  • Phillip Edward Cowen

View on SEC IAPD

Other Firms

BROWNSON, REHMUS & FOXWORTH, INC.
PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
GUGGENHEIM INVESTMENTS
PEKIN HARDY STRAUSS, INC.
SPIDERROCK ADVISORS, LLC
PROSPECT PARTNERS ADVISORS LLC
DOYENNE WEALTH ADVISORS

Other Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN
PHILIP JOHN RIDOLPHI
SUSAN MARY SHACKLETTE
KRISTI LYNN MILLS
NATHANIEL MITCHELL COLEMAN
KEITH MATTHEW CARDOZA

Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

More in Chicago, IL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor