Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Norris Rowe is a registered representative with Kroll Securities LLC, with an active Series 7, Series 79TO, and Series 63 license. David has worked in the securities industry since 2001. David joined Kroll Securities in 2022 after working at Duff & Phelps Securities LLC from 2004 to 2010. Prior to that, David worked at Bear, Stearns & Co. Inc. in New York, NY.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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IL
01/28/2022 - Present
Kroll Securities LLC (CHICAGO IL)
IL
01/22/2004 - 04/21/2010
DUFF & PHELPS SECURITIES LLC (CHICAGO IL)
NY
09/28/2001 - 05/03/2002
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BC
Issued 02/11/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/28/2022
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/07/2022
SIE - Securities Industry Essentials Examination
BC
Issued 09/27/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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