James DowlingCRD Number: 4486074
Current Firm: Hightower Advisors, LLC
James Dowling (CRD# 4486074) is an Investment Advisor Representative working at Hightower Advisors, LLC in Purchase, NY and has over 21 years of experience in the finance industry. James Dowling has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Lincoln Financial Advisors Corporation
|Hightower Advisors||Chicago, IL||Apr 2023 - Current||< 1|
|Mass Mutual Insurance Company||Purchase, NY||Oct 2010 - Current||12|
|Hightower Altium Holding, LLC||Purchase, NY||Apr 2022 - Apr 2023||1|
|Altium Wealth Management LLC||Purchase, NY||Oct 2010 - Apr 2022||11|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 2002|
|S65||NASAA Investment Advisors Law Examination||Oct 2002|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.Get Details on the FINRA Advisor Check site
Total Assets Under Management105,230MILLIONS
Total Number of Accounts144,757ACCOUNTS
Average Account Value$726,944
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
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