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KAY LYNNE MAREK BOWERS
KAY L M BOWERS, KAY MAREK BOWERS, KAY BOWERS, KAY LYNNE MAREK, KAY LYNNE SWENSON…
CRD#: 4506994
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 6460 PLATT AVE
WEST HILLS, CA 91307
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2003 - 2006 (2 years)2 FIRMS2007 - 2008 (<1 year)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2011 - 2012 (1 year)2 FIRMS2012 - 2021 (9 years)2 FIRMS2021 - Present (3 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)2002 - 2003 (1 year)
Disclosure(s)
View By:
3/9/2017
Financial
Final
1/30/2017
Financial
Final
License(s)

State Registrations

B
California 10/29/2021

B
Nevada 2/3/2022

IA
California 10/29/2021

B
Washington 7/11/2022

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
6460 PLATT AVE, WEST HILLS, CA 91307
Registered with this firm since 10/29/2021

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
6460 PLATT AVE, WEST HILLS, CA 91307
Registered with this firm since 10/29/2021

Previous Registration(s)
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IA
10/01/2012 - 10/05/2021 J.P. MORGAN SECURITIES LLC (CRD#:79) WEST HILLS, CA
B
10/01/2012 - 10/05/2021 J.P. MORGAN SECURITIES LLC (CRD#:79) WEST HILLS, CA
IA
02/16/2011 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) LAYTON, UT
B
02/21/2011 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) LAYTON, UT
IA
08/11/2008 - 03/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) TORRANCE, CA
B
08/08/2008 - 03/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) TORRANCE, CA
IA
09/11/2007 - 07/14/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN PEDRO, CA
B
11/05/2007 - 07/14/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN PEDRO, CA
IA
11/25/2003 - 08/23/2006 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) RANCHO PALOS VERDES, CA
B
09/23/2003 - 08/23/2006 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) RANCHO PALOS VERDES, CA
B
05/13/2002 - 06/10/2003 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
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Disclosures
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.