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Spencer Dean McGowan

Investment Adviser Representative at MCGOWAN GROUP ASSET MANAGEMENT, INC.

Dallas, TXCRD #1546977Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
25 yrs
States Registered
2 states
Exams Passed
7

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Spencer Dean Mcgowan has worked in the securities industry since 2001. They have passed the Series 65, 63, 10, 9, 7, and 3 examinations. They are registered to provide investment advisory services in Florida and Texas.

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
FloridaTexas
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 6/12/1992
Series 63
Uniform Securities Agent State Law Examination
Passed 8/21/1986
SIE
Securities Industry Essentials Examination
Passed 12/31/2014
Series 3
National Commodity Futures Examination
Passed 9/26/1986
Series 7
General Securities Representative Examination
Passed 8/16/1986
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 12/7/2009
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 12/7/2009

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
Greater than $1MM0.99%
Greater than $3MM0.88%
Greater than $10MM0.83%
Account minimum: $1,000,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Mcgowan Group Asset Management, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MCGOWAN GROUP ASSET MANAGEMENT, INC.Current
8/6/2010Dallas, TX
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
10/9/20098/4/2010Dallas, TX
WELLS FARGO ADVISORS, LLC
2/16/200110/12/2009Dallas, TX

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at MCGOWAN GROUP ASSET MANAGEMENT, INC.

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View MCGOWAN GROUP ASSET MANAGEMENT, INC. firm profile
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. Spencer Dean McGowan 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.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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Spencer Dean McGowan - Financial Advisor in Dallas, TX | AdvisorFinder