James Bowie has been an investment adviser representative at Tradewinds since August 2024, and is not listed among the firm’s executive officers or direct owners.
Tradewinds, LLC is a Raleigh, NC firm with $659M under management, 505 clients and 9 advisers in one office, as of its March 2026 filing.
James Bowie’s longest registration is the current one, 2 years at Tradewinds since 2024. Before joining Tradewinds in 2024, James Bowie was registered through Fidelity Personal and Workplace Advisors.
- Fidelity Personal and Workplace Advisors– · under a yearDurham, NC · Adviser representative · Firm CRD 288590
Investment adviser representative registrations
James Bowie is registered as an investment adviser representative in North Carolina, since August 2024.
- North CarolinaSince 20 August 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 10 August 2023 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 February 2023 |
| Series 7TO | General Securities Representative Examination | 31 January 2023 |
| SIE | Securities Industry Essentials Examination | 23 January 2023 |
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- James Edward Bowie
- CRD
- 7648744
- Firm
- Tradewinds · CRD 316415
- Office
- 4600 MARRIOTT DR., SUITE 200, Raleigh, NC 27612
- Registration
- Investment adviser registration
- In the industry since
- April 2023
- Disciplinary history
- Not yet shown here · SEC record
Where does James Bowie work?
James Bowie is an investment adviser representative registered through Tradewinds, LLC since August 2024, and is not listed among the firm’s executive officers or direct owners.
Is James Bowie a financial advisor?
Yes. James Bowie has a current investment-adviser registration in North Carolina, through Tradewinds since August 2024.
How many years of experience does James Bowie have?
James Bowie has 3 years in the financial industry, since April 2023, across 2 adviser firms.
What exams has James Bowie passed?
James Bowie has passed 4 licensing exams: the SIE, Series 7TO, Series 63 and Series 66. The earliest, the SIE, was passed in January 2023.
Where did James Bowie work before Tradewinds?
Before Tradewinds, James Bowie was registered through Fidelity Personal and Workplace Advisors, August 2023 to June 2024.
Where is James Bowie based?
James Bowie’s registered office is in Raleigh, NC.
Is James Bowie registered with FINRA?
No. James Bowie has no current broker registration.
How can I verify James Bowie’s record?
Search CRD 7648744 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Bowie’s full registration record.
