Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Kowalski is a financial advisor with over 26 years of experience in the financial services industry. Steven has been with Merrill Lynch, Pierce, Fenner & Smith Inc. since December 2008. Previously, Steven was employed by Wachovia Securities, LLC, Morgan Stanley DW Inc. and Bank of America Investment Services, Inc. Steven holds FINRA Series 3, 7, 9, 10, 63 and 65 licenses, and is registered in 53 states and the District of Columbia. Steven has a strong track record of providing personalized financial advice to a diverse clientele, including individuals, families, corporations and institutions.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
FL
12/19/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (STUART FL)
FL
07/16/2003 - 12/09/2008
WACHOVIA SECURITIES, LLC (CORAL SPRINGS FL)
NY
02/26/2001 - 07/16/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
MA
01/01/1998 - 02/21/2001
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NA
05/16/1994 - 01/01/1998
NATIONSSECURITIES
CA
04/21/1992 - 05/18/1994
QUEST CAPITAL STRATEGIES, INC. (LAGUNA HILLS CA)
IA
Issued 11/22/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/26/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/11/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/27/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/27/2012
Series 3 - National Commodity Futures Examination
BC
Issued 04/20/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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