Stephen G. Kowalski
Professional summary
Stephen George Kowalski is a registered financial advisor currently at HENNION & WALSH ASSET MANAGEMENT, INC. located in Parsippany, New Jersey and HENNION & WALSH, INC. located in Parsippany, New Jersey.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Stephen has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen George Kowalski's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 6, 2007 - Present
HENNION & WALSH ASSET MANAGEMENT, INC.
Office #1: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054January 25, 1990 - Present
HENNION & WALSH, INC.
Office #1: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054Office #2: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018September 25, 1989 - January 10, 1990
MUNICIPAL INVESTORS SERVICE, INC.
July 18, 1989 - September 19, 1989
HALPERT AND COMPANY, INC.
Primary Firm SEC Registration
HENNION & WALSH ASSET MANAGEMENT, INC.
CRD#: 126236 / SEC#: 801-61977
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/3/1994)
(7/9/2004)
(6/22/1992)
(8/16/2005)
(6/6/1990)
(6/26/2008)
(9/16/2008)
(6/7/1990)
(1/6/2012)
(4/13/1993)
(6/23/2010)
(6/25/2008)
(2/19/1997)
(6/22/1992)
(6/22/1992)
(4/13/1993)
(7/29/2016)
(10/17/2012)
(5/5/1993)
(8/13/2008)
(4/13/1993)
(1/19/1990)
(11/6/2007)
(2/21/1990)
(4/13/1993)
(4/14/1993)
(7/23/2012)
(6/6/1990)
(12/19/2011)
(2/16/2016)
(1/19/2017)
(7/24/2025)
(6/8/1990)
(6/28/2010)
(6/4/2021)
(7/9/2004)
(12/1/2003)
(10/21/2013)
(4/14/1993)
Exams
FINRA
Current Firm
HENNION & WALSH ASSET MANAGEMENT, INC.
CRD#: 126236 / SEC#: 801-61977
Contact information
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,423 |
| AUM (Assets Under Management) | $ 590,106,063 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2024 | ||
| 10/27/2023 | ||
| 09/28/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
