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James Lawrence Cowan

Cowan Capital Advisors

Foster City, CA

CRD 3126474

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Employer firm

Cowan Capital Advisors CRD 325865

$15.0M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
Cowan Capital Advisors

Foster City, CA • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-04-27
  • CA RA
    APPROVED
    Since 2023-04-27

Branch Locations

Foster City, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fisher Investments Woodside CA 03/2005 03/2023
Cowan Capital Llc Foster City CA 03/2023 Present
  • 03/2005 → 03/2023
    Fisher Investments
    Woodside, CA
  • 03/2023 → Present
    Cowan Capital Llc
    Foster City, CA
Previous Registrations
  • 2005-11-02 → 2023-04-03
    Fisher Investments
    Plano, TX
    Woodside, CA
  • 2004-11-30 → 2004-12-02
    Morgan Stanley Dw Inc.
    Aurora, CO
  • 2003-04-01 → 2003-04-28
    Columbia Management Advisors, Inc.
    Portland, OR
  • 2001-06-08 → 2003-04-01
    Stein Roe & Farnham Incorporated
    Aurora, CO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-05-22
S63 Uniform Securities Agent State Law Examination 1998-10-10
  • S65 Uniform Investment Adviser Law Examination
    2001-05-22
  • S63 Uniform Securities Agent State Law Examination
    1998-10-10

View on SEC IAPD

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