Kathleen Bowen is a registered investment advisor, based in Aurora, CO, with 39 years of industry experience.
Location
Aurora, CO
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
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 8 mos
Cambridge Investment Research, INC.Broker
January 2024 - Present · 2 yrs 8 mos
Cambridge Investment Research Advisors, INC.
January 2024 - Present · 2 yrs 8 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
ALCACOFLHIKSMIMTNVPAUTWY
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.