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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Leonard Bowcock is a financial advisor at Stifel, Nicolaus & Company, Inc.. Douglas has been in the financial industry since June 2, 1991. Douglas has been registered with Stifel, Nicolaus & Company, Inc. since November 5, 2019 and previously worked for WELLS FARGO CLEARING SERVICES, LLC and A. G. EDWARDS & SONS, INC. Douglas is registered as an Investment Advisor Representative in California and Texas. Douglas also holds Series 3, 7, 8, 9, 10, 63, and 65 licenses. Douglas's experience and expertise in the financial industry make him a valuable resource for clients seeking investment advice.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
11/01/2019 - Present
Stifel, Nicolaus & Company, Inc. (SAN DIEGO CA)
CA
01/01/2008 - 11/06/2019
WELLS FARGO CLEARING SERVICES, LLC (SAN DIEGO CA)
CA
10/28/2005 - 01/03/2008
A. G. EDWARDS & SONS, INC. (ESCONDIDO CA)
CA
06/03/1991 - 11/01/2005
MORGAN STANLEY DW INC. (ESCONDIDO CA)
IA
Issued 04/23/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/11/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/17/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/06/1992
Series 3 - National Commodity Futures Examination
BC
Issued 05/30/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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