Kenneth E. Sawatzky
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.
Kenneth Eugene Sawatzky was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1987. Kenneth had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2006 - July 1, 2019
COMMERCE BROKERAGE SERVICES, INC.
March 31, 2006 - July 1, 2019
COMMERCE BROKERAGE SERVICES, INC.
August 19, 2004 - February 1, 2006
TD AMERITRADE, INC.
August 18, 2004 - February 1, 2006
TD AMERITRADE, INC.
April 4, 2002 - July 30, 2004
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
April 2, 2002 - July 30, 2004
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
February 6, 1989 - January 28, 2002
QUICK & REILLY, INC.
November 8, 1988 - February 15, 1989
AMERIPRISE ADVISOR SERVICES, INC.
July 6, 1988 - October 27, 1988
FIRST AMERICAN SERVICES DIVISION INC.
June 9, 1987 - February 29, 1988
COMMERCE BROKERAGE SERVICES, INC.
March 25, 1987 - May 16, 1987
BLINDER, ROBINSON & CO., INC.
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
COMMERCE BROKERAGE SERVICES, INC.
CRD#: 17140 / SEC#: 801-66509, 8-35096
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERCE BANK | SOLE STOCKHOLDER | |
| CHMELKA, JOHN EMIL | PRINCIPAL OPERATIONS OFFICER | 2052962 |
| HARMON, THOMAS DARIN | PRESIDENT/CHIEF EXECUTIVE OFFICER | 7787415 |
| MOWER, MATHEW ROBERT | SENIOR VICE PRESIDENT | 3176197 |
| REECE, JOSEPH STEVEN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2227282 |
| ROWE, MARGARET | CORPORATE SECRETARY | 7576973 |
| SIMPSON, TIFFANY LYNN | TREASURER/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER | 6685507 |
| SWANSON, ERIK ANDREW | EXECUTIVE VICE PRESIDENT | 4170204 |
Regulatory assets under management
| Total Number of Accounts | 3,570 |
| AUM (Assets Under Management) | $ 650,363,405 |
Disclosures
| Regulatory Event | 5 |
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.
