Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul Bowes is an investment professional with over 27 years of experience in the financial industry. Paul is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. where Paul has been employed since March 2007. Paul has also held previous roles with RBC DAIN RAUSCHER INC., and TUCKER ANTHONY INCORPORATED. Paul holds a variety of licenses and certifications including Series 7, Series 10, Series 9, Series 31, Series 55, Series 57TO and Series 66. Paul's areas of specialization include retirement planning, investment strategies, and financial planning for individuals, businesses, and institutions.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
MA
01/23/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOSTON MA)
MA
03/09/2002 - 02/22/2007
RBC DAIN RAUSCHER INC. (BOSTON MA)
MA
11/06/1999 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
WI
05/03/1999 - 11/01/1999
TUCKER ANTHONY CLEARY GULL (MILWAUKEE WI)
MA
10/30/1995 - 05/03/1999
TUCKER ANTHONY INCORPORATED (BOSTON MA)
BOTH
Issued 07/07/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/17/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/03/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/11/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/04/2013
Series 31 - Futures Managed Funds Examination
BC
Issued 04/08/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/27/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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