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Detailed Report
David Ross Bowles
DAVID R BOWLES, DAVID ROSS BOWLES III, DAVID ROSS BOWLES
CRD#: 6197788
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 1560 SHERMAN AVENUE
SUITE 100
EVANSTON, IL 60201
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2014 - 2015 (<1 year)2 FIRMS2016 - 2018 (1 year)3 FIRMS2018 - 2019 (1 year)3 FIRMS2019 - 2020 (<1 year)2 FIRMS2020 - 2023 (3 years)2 FIRMS2023 - Present (1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2015 - 2016 (1 year)
License(s)

State Registrations

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Florida 12/11/2023
B
Massachusetts 8/26/2024
B
Illinois 12/11/2023
B
Tennessee 8/26/2024
IA
Illinois 12/11/2023

SRO Registrations

B
 FINRA

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
ADVICE AND PLANNING SERVICES (CRD#:20472)
1560 SHERMAN AVENUE SUITE 100, EVANSTON, IL 60201
Chicago, IL
Registered with this firm since 12/11/2023
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
1560 SHERMAN AVENUE SUITE 100, EVANSTON, IL 60201
Chicago, IL
Registered with this firm since 12/11/2023
Previous Registration(s)
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IA
 09/18/2020 - 11/17/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHICAGO, IL
B
 09/18/2020 - 11/17/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHICAGO, IL
IA
 09/17/2019 - 08/18/2020 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Davenport, IA
IA
 09/17/2019 - 08/18/2020 TD AMERITRADE, INC. (CRD#:7870) DAVENPORT, IA
B
 09/16/2019 - 08/18/2020 TD AMERITRADE, INC. (CRD#:7870) DAVENPORT, IA
IA
 02/27/2018 - 07/25/2019 TD AMERITRADE, INC. (CRD#:7870) WILMETTE, IL
IA
 02/26/2018 - 07/25/2019 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) WILMETTE, IL
B
 02/26/2018 - 07/25/2019 TD AMERITRADE, INC. (CRD#:7870) WILMETTE, IL
IA
 11/15/2016 - 02/26/2018 SCOTTRADE INVESTMENT MANAGEMENT (CRD#:169988) SAINT LOUIS, MO
B
 10/20/2016 - 02/26/2018 SCOTTRADE, INC. (CRD#:8206) WILMETTE, IL
B
 07/24/2015 - 09/26/2016 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) ORLAND PARK, IL
IA
 04/07/2014 - 01/23/2015 EDWARD JONES (CRD#:250) LAKE ZURICH, IL
B
 03/17/2014 - 01/23/2015 EDWARD JONES (CRD#:250) LAKE ZURICH, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
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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
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.