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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Edward Kwiatkowski is a registered investment advisor representative with Raymond James & Associates, Inc. John has been in the industry since June 1988. John holds the Series 7, Series 31, Series 63, and Series 65 licenses as well as the SIE exam. Prior to joining Raymond James & Associates, Inc. John worked for MORGAN STANLEY SMITH BARNEY and CITIGROUP GLOBAL MARKETS INC. John's current location is WESTLAKE VILLAGE, CA and John is currently registered with the following states: Alabama, Arizona, California, Colorado, Connecticut, Florida, Georgia, Idaho, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Nevada, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, Texas, Virginia, Washington, and Wyoming. John is also a subcommittee member for the Ventura County Community Foundation.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
05/11/2011 - Present
Raymond James & Associates, Inc. (WESTLAKE VILLAGE CA)
CA
06/01/2009 - 05/27/2011
MORGAN STANLEY SMITH BARNEY (WESTLAKE VILLAGE CA)
CA
03/18/1991 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WESTLAKE VILLAGE CA)
CA
06/22/1988 - 04/01/1991
BARABAN SECURITIES, INC. (LOS ANGELES CA)
IA
Issued 10/26/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/14/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/28/2012
Series 31 - Futures Managed Funds Examination
BC
Issued 06/18/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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