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Kris Eric Tower

Investment Adviser Representative at NOVEM GROUP

Denver, COCRD #2765979Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
30 yrs
States Registered
52 states
Exams Passed
8

Registrations & licenses

Registration type
Dual-registered
Registered in 52 states
AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaPuerto RicoRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVermontVirginiaWashingtonWest VirginiaWisconsinWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 12/28/2000
Series 63
Uniform Securities Agent State Law Examination
Passed 8/2/1996
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 10/10/1996
Series 52
Municipal Securities Representative Examination
Passed 7/30/1996
Series 24
General Securities Principal Examination
Passed 4/9/2003
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 5/16/2002
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 5/6/2002

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
Up to $250,0002.50%
$250,001 - $500,0002.25%
$500,001 - $1,000,0002.00%
$1,000,001 - $5,000,0001.75%
Over $5,000,0001.50%
Source

Novem Group Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

OSAIC WEALTH, INC.Current
10/11/2024Denver, CO
NOVEM GROUPCurrent
1/15/2015Denver, CO
AMERICAN PORTFOLIOS ADVISORS, INC
2/16/200610/11/2024Holbrook, NY
NORTHEAST ASSET MANAGEMENT, INC.
4/23/20042/16/2006Denver, CO
LLOYD, SCOTT & VALENTI, INC.
11/25/20031/22/2004Denver, CO
RSM MCGLADREY, INC.
3/21/20035/13/2003Denver, CO

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Kris Eric Tower has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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Kris Eric Tower - Financial Advisor in Denver, CO | AdvisorFinder