Kathleen Bowen is a registered investment advisor, based in Aurora, CO, with 40 years of industry experience. Kathleen is also registered as a broker, so some compensation may come from commissions on products sold.
Location
2821 S. Parker Road, Suite #1109, Aurora, CO, 80018
Get directionsHistory
Regulatory History (1)
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Customer Dispute
March 1994Settled
Other Business Activities
Kathleen is the President of Mind's Eye Resource Management LLC since December 2023. She spends nearly full-time on this DBA, investment-related activity, including trading.
Employment History
Current Registrations
Cambridge Investment Research, INC.
January 2024 - Present · 2 yrs 9 mos
Cambridge Investment Research, INC.Broker
January 2024 - Present · 2 yrs 9 mos
Cambridge Investment Research Advisors, INC.
January 2024 - Present · 2 yrs 9 mos
Previous Registrations
Crown Capital Securities, L.P.Broker
September 2013 - December 2023 · 10 yrs 3 mos
Crown Capital Securities, L.P.
September 2013 - December 2023 · 10 yrs 3 mos
NFP Securities, INC.Broker
April 2004 - September 2013 · 9 yrs 5 mos
NFP Securities, INC.
April 2004 - September 2013 · 9 yrs 5 mos
Lincoln Financial Advisors Corporation
August 2002 - March 2003 · 7 mos
The Lincoln National Life Insurance CompanyBroker
March 2002 - March 2003 · 1 yr
Lincoln Financial Advisors CorporationBroker
March 2002 - March 2003 · 1 yr
Transamerica Financial Advisors, INC.Broker
December 2001 - March 2002 · 3 mos
Capital Analysts, IncorporatedBroker
May 2001 - December 2001 · 7 mos
Metlife Securities INC.Broker
July 1997 - May 2000 · 2 yrs 10 mos
Metropolitan Life Insurance CompanyBroker
July 1997 - May 2000 · 2 yrs 10 mos
Independent Financial GroupBroker
January 1995 - November 1996 · 1 yr 10 mos
Metlife Securities INC.Broker
August 1988 - August 1994 · 6 yrs
Metropolitan Life Insurance CompanyBroker
August 1988 - August 1994 · 6 yrs
Waddell & Reed, INC.Broker
March 1983 - August 1988 · 5 yrs 5 mos
State Registrations12 states
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AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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