About Bowen Enterprises

Bowen Enterprises LLC 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