Anthony J. Kowalski
Professional summary
Anthony Joseph Kowalski, CFP®, who also goes by Tony Kowalski, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tampa, Florida and CETERA INVESTMENT SERVICES LLC located in Tampa, Florida.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Anthony has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Joseph Kowalski's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2009
Experience
September 25, 2015 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 711 E Henderson Avenue, Tampa, FL 33602September 21, 2015 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 711 E Henderson Avenue, Tampa, FL 33602July 14, 2010 - September 21, 2015
INVESTMENT CENTERS OF AMERICA, INC.
July 1, 2010 - September 21, 2015
INVESTMENT CENTERS OF AMERICA, INC.
December 5, 2003 - July 2, 2010
CUNA BROKERAGE SERVICES, INC.
September 25, 2002 - July 2, 2010
CUNA BROKERAGE SERVICES, INC.
October 2, 1997 - September 17, 2002
LASALLE ST SECURITIES, L.L.C.
September 12, 1994 - October 16, 1997
SAPERSTON FINANCIAL INC.
March 30, 1992 - October 6, 1994
TUSCANY EQUITY MANAGEMENT CORPORATI0N
November 24, 1990 - April 7, 1992
CHATFIELD DEAN & CO., INC.
November 25, 1987 - November 30, 1990
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/24/2023)
(6/7/2021)
(9/21/2015)
(7/2/2024)
(10/5/2020)
(9/21/2015)
(9/25/2015)
(9/21/2015)
(2/1/2022)
(6/30/2021)
(4/12/2022)
(9/21/2015)
(5/22/2018)
(5/17/2016)
(5/12/2021)
(4/24/2018)
(9/21/2015)
(9/21/2018)
(9/21/2017)
(9/21/2015)
(9/21/2015)
(10/8/2015)
(1/12/2023)
(9/21/2015)
(5/20/2021)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
