Craig J. Kowalczyk
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.
Craig Joseph Kowalczyk, who also goes by Craig J Kolwalczyk, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1989. Craig had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2018 - March 3, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 30, 2012 - July 13, 2018
STRATEGIC ADVISERS LLC
May 28, 1993 - March 2, 2020
FIDELITY BROKERAGE SERVICES LLC
June 19, 1992 - December 12, 1992
AMERIPRISE ADVISOR SERVICES, INC.
August 1, 1991 - June 12, 1992
IFMG SECURITIES, INC.
December 6, 1990 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
November 4, 1989 - November 27, 1990
UBS FINANCIAL SERVICES 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
Series 8
Date: 5/12/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
