Alan Bowles, financial advisor Storm Lake IA
83 score

Alan Bowles

CRD Number: 1144455
Current Firm: Hilltop Securities Independent Network Inc.

Alan Bowles (CRD# 1144455) is an Investment Advisor Representative working at Hilltop Securities Independent Network Inc. in Storm Lake, IA and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Sws Financial Services Storm Lake, IA Nov 2009 - Current 7
Wachovia Securities, LLC Storm Lake, IA Jan 2008 - Nov 2009 1
Wachovia Securities, LLC Storm Lake, IA Jan 2008 - Nov 2009 1
A. G. Edwards & Sons, Inc. Storm Lake, IA Mar 1988 - Nov 2009 21
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1983
Disclosure Information

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. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Alan E. Bowles
Phone Number: 214-859-1800
Firm Website: http://www.ibnbonds.com
Registered State(s):
  • IA
By the Numbers
  • Total Assets Under Management
    245
    MILLIONS
  • Total Number of Accounts
    1,218
    ACCOUNTS
  • Average Account Value
    $200,810
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

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

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BADGES
83

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