Best Investors Account Sign in

James G Bowman

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Louisville, KY

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2020-02-14
TX RA APPROVED_RES 2007-07-10
KY RA APPROVED 2007-07-06
  • FL RA
    APPROVED
    Since 2020-02-14
  • TX RA
    APPROVED_RES
    Since 2007-07-10
  • KY RA
    APPROVED
    Since 2007-07-06

Branch Locations

101 Bullitt Ln, Louisville, KY 40222 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Louisville KY 06/2007 Present
Bank Of America, N.A. Louisville KY 12/2009 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-06-22
S63 Uniform Securities Agent State Law Examination 1986-05-29
  • S65 Uniform Investment Adviser Law Examination
    1992-06-22
  • S63 Uniform Securities Agent State Law Examination
    1986-05-29
Other Names
  • James Garland Bowman
  • Gary Bowman
  • Gary Bowman
  • James Garland Bowman
  • James G Bowman Ii

View on SEC IAPD

Other Firms

RAYMOND JAMES & ASSOCIATES, INC.
MORGAN STANLEY
WAYCROSS GP, LLC
WAYCROSS PARTNERS, LLC
PNC WEALTH MANAGEMENT LLC
KESTRA ADVISORY SERVICES, LLC
LPL FINANCIAL LLC
LANIER ASSET MANAGEMENT, LLC

Other Investors

REBECCA ANN LOVAN
Donald R Dentinger
MAYNARD EDWIN HOPPER
DEONNA STARGEL COLVIN
James Earl Groves
WHITNEY B WOODFORD
Bruce Mckiernan White
WILLIAM JOHNATHAN HENDERSON

Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · LOUISVILLE, KY
MORGAN STANLEY · Louisville, KY
WAYCROSS GP, LLC · LOUISVILLE, KY
WAYCROSS PARTNERS, LLC · LOUISVILLE, KY
PNC WEALTH MANAGEMENT LLC · Louisville, KY
KESTRA ADVISORY SERVICES, LLC · Louisville, KY
LPL FINANCIAL LLC · LOUISVILLE, KY
LPL FINANCIAL LLC · LOUISVILLE, KY

More in Louisville, KY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor