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Ernest James Rowe

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Information

Other Names: Jamie Rowe
Firm:
Type: Dual Registration
Description

Ernest Rowe is a financial professional at Intervest International, Inc., a $473M RIA based in Colorado Springs, CO. Ernest has held an industry securities registration for 20 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Intervest International Equities Corporation 5 years, 3 months Jul 2009 - Present
Dynamic Financial 7 years, 9 months Jan 2007 - Present
Sunset Financial Services, Inc. 13 years, 5 months Aug 1995 - Jan 2009
Kansas City Life Ins Co 32 years, 6 months Nov 1976 - May 2009
Rowe Agency 30 years, 2 months Nov 1976 - Jan 2007
Exams
ExamSeriesPassed Date
Uniform Securities Agent State Law ExaminationSeries 63 02/02/1996

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Ernest James Rowe has not answered any questions on Financial Q&A.

Top Guides

Ernest James Rowe has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
Pension and Profit Sharing Plans
High Net Worth Individuals
Charitable Organizations
Other Pooled Investment Vehicles
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute

1 Termination

As of Date
09/10/2014
02/05/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Other: SPLIT FEES FROM THIRD-PARTY MONEY MANAGERS OR RIAS