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LOWELL STEWART
LOWELL ALAN STEWART, Alan Stewart
CRD#: 7237078
IA
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VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 West Plains, MO
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Disclosures
4
Years of Experience
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State Registrations
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Arkansas 11/20/2024
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Missouri 11/12/2024
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Arkansas 11/20/2024
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Missouri 11/12/2024
SRO Registrations
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Registered with this firm since 11/12/2024
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Registered with this firm since 11/12/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/02/2022 - 11/01/2024 | West Plains, MO | |
B | 09/02/2022 - 11/01/2024 | Batesville, AR | |
IA | 04/27/2021 - 08/15/2022 | WILLOW SPRINGS, MO | |
B | 12/17/2020 - 08/15/2022 | WILLOW SPRINGS, MO |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.