BARBARA BROWN BOWMAN is currently employed as a Broker and/or Investment Adviser at PRINCIPAL SECURITIES, INC. located at 1900 S HARBOR CITY BLVD, STE 217, MELBOURNE, FL, 32901.
BARBARA BROWN BOWMAN has worked at PRINCIPAL SECURITIES, INC. since August 01, 2013
Disclosure History
BARBARA BROWN BOWMAN has 2 Disclosure Event(s).
Date: February 26, 2010 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT WHEN THE REPRESENTATIVE RECOMMENDED THE NEED FOR WITHDRAWALS FROM HER VARIBLE ANNUITY IN NOVEMBER 2007, THE REPRESENTATIVE DID NOT EXPLAIN IT'S EFFECT TO OTHER FEATURES OF THE ANNUITY. NO SPECIFIC COMPENSATORY DAMAGES WERE ALLEGED.
Date: January 12, 2004 Category: Employment Separation After Allegations Firm Name: PRUCO SECURITIES, LLC Termination Type: Discharged Allegations: REGISTERED REPRESENTATIVE DID NOT COMPLY WITH COMPANY AND STATE REPLACEMENT REQUIREMENTS AND SUBMITTED A NON-GENUINE SIGNATURE ON A POLICY DELIVERY RECEIPT THAT SHE SIGNED AS WITNESS. ALLEGATIONS CONFIRMED.
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