Arlene A. Gawlowski
Professional summary
Arlene Ann Gawlowski is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Boca Raton, Florida.
Arlene is registered as a RR (Registered Representative) and started their career in finance in 1990. Arlene has worked at 11 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Arlene Ann Gawlowski's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 19, 2007 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 1150 Broken Sound Parkway Nw, Boca Raton, FL 33487October 19, 2007 - November 24, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
January 30, 2006 - October 1, 2007
EMPOWER FINANCIAL SERVICES, INC.
January 20, 2005 - July 25, 2005
CHASE INVESTMENT SERVICES CORP.
December 18, 1997 - November 12, 2004
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 26, 1996 - October 16, 1997
AMERITRADE INSTITUTIONAL SERVICES, INC.
November 4, 1994 - October 1, 1996
MIDWOOD SECURITIES, INC.
August 22, 1990 - January 8, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 22, 1990 - January 8, 1992
EQUITABLE ADVISORS, LLC
February 20, 1990 - June 29, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 20, 1990 - June 29, 1990
PRUCO SECURITIES, LLC.
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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