About Bowen Enterprises
Bowen Enterprises provides consulting services to Independent Financial Advisors
and Firms. One main focus of our business is working with wirehouse/regional/captive
advisors who are considering Going Independent. In any service industry,
delivery, implementation, and support drive success. Financial Advisors seeking
to "Go Independent" often find the road to be challenging. There are many
hurdles and obstacles, both legal and practical, which must be overcome.
At Bowen Enterprises, we have identified these challenges and work closely and
confidentially with Financial Advisers to help them assess whether Going
Independent is right for them. We then work with them to understand their unique
situation and business and walk them through the process to address the
important factors and how they pertain to their situation to help them make an
informed decision as well as address issues to better prepare them for a move.
In addition to this process, we also use our vast experience within the
Independent Brokerage Industry to provide consulting services to Independent
Firms and Branch Offices in the areas of Staffing, Compliance and Operations.
Developing a successful relationship, creating your plan of action, and seeing
it through, all distinguish Bowen Enterprises.
Victoria Bowen
President, Bowen Enterprises
Taking her marketing degree from The University of Lowell to the financial
services industry in 1993 was a natural fit for Victoria Bowen, President of
Bowen Enterprises. For over a decade, Victoria worked hard to build, maintain
and nourish the independent financial advisors who came to the broker dealer for
whom she worked.
Victoria worked her way up the organizational chain, from Customer Service
Representative through Senior Relationship Manager, and eventually left the firm
as a Senior Vice-President and Operations Manager. Along the way, she learned
her vocation from the inside out, focusing on building and maintaining
relationships and understanding how each step of the operational chain provided
support for the financial advisors she served within the various parameters of
the securities industry.
From day one, Victoria's primary duty was to provide direct assistance to over
150 independent branch offices and the advisors within them. She gained intimate
knowledge of the aspirations and challenges facing these independents and worked
hard to help them meet both.
As a licensed financial professional, Victoria understands the demands and
rewards of the industry as well as the crucial role a broker dealer and other
resources can play in the success of an independent practice. She also
understands the importance of having well-organized and efficient systems and
procedures in place to best serve clients while maintaining a compliant
practice.
When Victoria decided to open her own consulting firm in 2004, she knew that all
the knowledge she had gained would provide valuable insight to her clients.
Surprisingly, the industry doesn't have much assistance for those financial
advisors considering a jump from a wirehouse or captive firm to independent
practice. Victoria adds, "Much of the information related to Going Independent
tends to focus on certain pieces of the process such as choosing a broker
dealer/custodial platform, analyzing the financials and transferring accounts.
Although these are very important factors, they are just a few of many factors
to be considered in the overall decision-making process."
Today, Victoria works out of her Boston, Massachusetts area, office with clients
who are considering making the move to independent practice.
LICENSES HELD:
Series 7, Series 63, Series 24,
Series 4, Series 27, Series 66
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