Jon G. Schmalowski

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CRD#: 1279381

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.

Jon G Schmalowski, who also goes by Jon Gene Schmalowski, Jon Schmalowski, Ski Schmalowski, was a registered financial professional .

Jon is a previously registered financial professional and started their career in finance in 1984. Jon had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 55, Series 7, Series 10, Series 9, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jon Gene Schmalowski | Jon Schmalowski | Ski Schmalowski

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 10, 2016 - August 4, 2017

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

TAMPA, FL

Past

February 5, 2016 - August 4, 2017

OPPENHEIMER & CO. INC.

CRD#: 249

TAMPA, FL

Past

November 6, 2014 - September 28, 2015

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

SAINT PETERSBURG, FL

Past

September 15, 2014 - September 28, 2015

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

SAINT PETERSBURG, FL

Past

October 3, 2013 - November 6, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

JACKSONVILLE, FL

Past

October 1, 2013 - November 6, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

JACKSONVILLE, FL

Past

June 2, 2009 - November 1, 2012

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

ST. PETERSBURG, FL

Past

July 13, 2007 - October 10, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

ST PETERSBURG, FL

Past

June 15, 2007 - November 1, 2012

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST PETERSBURG, FL

Past

November 8, 2006 - June 1, 2007

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

TAMPA, FL

Past

November 7, 2006 - June 1, 2007

INVEST FINANCIAL CORPORATION

CRD#: 12984

TAMPA, FL

Past

September 15, 2003 - November 8, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

RICHMOND, VA

Past

September 9, 2003 - November 8, 2006

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

RICHMOND, VA

Past

June 17, 2003 - August 26, 2003

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

September 13, 2000 - December 2, 2002

WILLIAM R. HOUGH & CO.

RIA

CRD#: 2235

ST. PETERSBURG, FL

Past

September 12, 2000 - December 2, 2002

WILLIAM R. HOUGH & CO.

CRD#: 2235

ST. PETERSBURG, FL

Past

August 18, 1993 - December 20, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

May 30, 1989 - April 23, 1990

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

Past

August 10, 1988 - January 26, 1989

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

Past

May 17, 1988 - May 23, 1988

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

Past

January 14, 1988 - May 24, 1988

C.A.L. INVESTMENT SERVICES INC.

CRD#: 15642

Past

March 4, 1987 - January 4, 1988

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

Past

July 6, 1984 - March 12, 1987

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OPPENHEIMER & CO. INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA

Registered Investment Advisory firm - SEC (2/9/1955 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/23/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/16/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/4/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/22/2004

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 7/12/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/26/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/6/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/14/2003

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 7/26/2003

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/23/2002

General Securities Principal Examination

Current Firm

OPPENHEIMER & CO. INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA

Registered Investment Advisory firm - SEC (2/9/1955 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

85 Broad Street 22nd Floor, New York, NY 10004

Mailing Address

85 Broad Street 22nd Floor, Ny, NY 10004

Phone number

(212) 668-8000

Established

New York since 12/23/1954

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

2,883

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OPPENHEIMER CO. INC. PART 2A APPENDIX 1 (3/27/2025)

OPPENHEIMER CO. INC. PART 2A OF FORM ADV (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
VINER FINANCE INC.	PARENT CO.
CASSIDY, THOMAS EDWARD	MANAGING DIRECTOR	4502955
GIORDANO, PETER JOHN	MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER	2921308
HARRINGTON, EDWARD PATRICK	EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES	2566682
LOWENTHAL, ALBERT GRINSFELDER	EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L	313519
LOWENTHAL, ROBERT STEVEN	CEO-PRESIDENT-DIRECTOR	1639913
MCNAMARA, DENNIS PATRICK	E.V.P./CLO/SECRETARY	2938486
MOLOKIE JR, LEON E	EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER	1743402
VALENTINO, DOMINIC THOMAS	CHIEF COMPLIANCE OFFICER	6940515
WATKINS, BRAD MICHAEL	DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO	6319251

Regulatory assets under management

Total Number of Accounts	37,605
AUM (Assets Under Management)	$ 32,418,994,154

Disclosures

Regulatory Event	102
Civil Event	1
Arbitration	180
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
10/25/2023	Cover Page	Report
02/24/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Jon G. Schmalowski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OPPENHEIMER & CO. INC.

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

GUNNALLEN FINANCIAL, INC

WILLIAM R. HOUGH & CO.

WILLIAM R. HOUGH & CO.

CITIGROUP GLOBAL MARKETS INC.

AMERIPRISE ADVISOR SERVICES, INC.

GLOBAL ATLANTIC DISTRIBUTORS, LLC

ROBERT W. BAIRD & CO. INCORPORATED

C.A.L. INVESTMENT SERVICES INC.

CAPITAL FINANCIAL SERVICES, INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

OPPENHEIMER & CO. INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/23/2003

Series 63

Date: 7/16/2001

SIE

Date: 8/4/2017

Series 3

Date: 4/22/2004

Series 55

Date: 7/12/2003

Series 7

Date: 8/26/2000

Series 10

Date: 12/6/2003

Series 9

Date: 11/14/2003

Series 4

Date: 7/26/2003

Series 24

Date: 3/23/2002

Current Firm

OPPENHEIMER & CO. INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OPPENHEIMER & CO. INC.

TRUST BUT VERIFY

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