John A. Kowske
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Allen Kowske was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1983. John had worked at 12 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2007 - June 10, 2011
REGAL BAY INVESTMENT GROUP, LLC
December 20, 2006 - September 19, 2011
REGAL SECURITIES, INC.
September 29, 2005 - September 1, 2006
CETERA ADVISORS LLC
December 16, 2004 - August 29, 2005
STIFEL INDEPENDENT ADVISORS, LLC
March 1, 2004 - December 17, 2004
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 19, 2000 - March 15, 2004
A. G. EDWARDS & SONS, INC.
July 6, 1995 - January 8, 2001
WELLS FARGO CLEARING SERVICES, LLC
June 9, 1995 - July 3, 1995
WELLS FARGO CLEARING SERVICES, LLC
February 2, 1990 - June 16, 1995
DAIN RAUSCHER INCORPORATED
January 9, 1987 - February 22, 1990
PRUDENTIAL EQUITY GROUP, LLC
September 23, 1983 - January 19, 1987
LEHMAN BROTHERS INC.
June 22, 1983 - September 6, 1983
SPRING & BOE INVESTMENT CORP.
May 4, 1983 - September 2, 1983
WINDSOR EQUITY CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
REGAL BAY INVESTMENT GROUP, LLC
CRD#: 121829 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 146 |
| AUM (Assets Under Management) | $ 47,600,000 |
Red Flags
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