Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ross? Claim Your ProfileRoss Dowling is a financial advisor with Raymond James & Associates, Inc. Ross has been in the financial industry since 1999. Ross holds Series 6, 7, 63 and 66 licenses and the SIE exam. Ross has experience working with a variety of clients, including high-net-worth individuals, corporations, and pension plans. Prior to joining Raymond James, Ross was a financial advisor with Wells Fargo Clearing Services, LLC and A. G. Edwards & Sons, Inc. Ross specializes in providing financial planning, portfolio management, and investment advisory services.
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.
Please see note in schedule d - miscellaneous
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
TX
04/26/2018 - Present
Raymond James & Associates, Inc. (AUSTIN TX)
TX
01/01/2008 - 04/30/2018
WELLS FARGO CLEARING SERVICES, LLC (AUSTIN TX)
TX
11/08/2001 - 01/03/2008
A. G. EDWARDS & SONS, INC. (AUSTIN TX)
CO
06/22/1999 - 05/09/2001
JANUS DISTRIBUTORS, INC. (DENVER CO)
BOTH
Issued 08/15/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/07/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/07/2001
Series 7 - General Securities Representative Examination
BC
Issued 06/21/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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