Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
ROBERT BOWEN
ROB L BOWEN, ROB LYNN BOWEN, ROBERT L BOWEN, ROBERT LYNN BOWEN
CRD#: 4141582
IA
B
WELLS FARGO ADVISORSCRD#: 19616 5201 W Amelia Earhart Dr
Salt Lake City, UT 84116
Salt Lake City, UT 84116
View By:
10/11/2022
Financial
Final
8/4/2021
Financial
Final
6/21/2005
Regulatory
Final
State Registrations
B
Utah 9/5/2023
IA
Utah 9/5/2023
SRO Registrations
B
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/5/2023
B
Registered with this firm since 9/1/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/06/2019 - 02/03/2023 | SOUTH JORDON, UT | |
B | 06/11/2019 - 02/03/2023 | SOUTH JORDON, UT | |
IA | 07/13/2018 - 09/28/2018 | BOSTON, MA | |
B | 01/01/2008 - 09/06/2018 | SALT LAKE CITY, UT | |
IA | 11/28/2008 - 07/13/2018 | SALT LAKE CITY, UT | |
B | 06/09/2006 - 01/01/2008 | SALT LAKE CITY, UT | |
B | 01/22/2001 - 06/08/2006 | SMITHFIELD, RI | |
IA | 04/27/2005 - 06/14/2005 | SALT LAKE CITY, UT | |
IA | 04/27/2005 - 06/14/2005 | SALT LAKE CITY, UT | |
B | 03/06/2000 - 11/15/2000 | MONTPELIER, VT |
SALT LAKE CITY, UT
06/09/2006 - 01/01/2008
SALT LAKE CITY, UT
04/27/2005 - 06/14/2005
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.