HK
Henry A. Kowalewski
FIRST CITIZENS ASSET MANAGEMENT,
Myrtle Beach, SC 29579
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CRD#: 2175517
HK
Professional summary
Henry Albert Kowalewski JR is a registered financial advisor currently at FIRST CITIZENS ASSET MANAGEMENT, INC located in Myrtle Beach, South Carolina and FIRST CITIZENS INVESTOR SERVICES, INC. located in Myrtle Beach, South Carolina.
Henry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Henry has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
First Citizens Asset Management; 4300 Six Forks Rd, Raleigh NC, 27609; Registered Investment Advisor, Investment Advisor Rep, began 2/1/99. 8 hours/month, all during trading hours. Investment Related; Registered Investment Advisor/ provide advisory services to managed asset clients; Compensation is part of salary paid by FCIS. No direct compensation received from FCAM. Business is not a client of the Firm.
CRS (Client Relationship Summary) - RIA
Click below to view Henry Albert Kowalewski JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Henry Albert Kowalewski JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 1, 2006 - Present
FIRST CITIZENS ASSET MANAGEMENT, INC
Office #1: 4040 River Oaks Drive, Myrtle Beach, SC 29579RIA
CRD#: 140777
Myrtle Beach, SC
Current
May 15, 2017 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 4040 River Oaks Drive, Myrtle Beach, SC 29579RIA
BD
CRD#: 44430
Myrtle Beach, SC
Current
January 4, 2016 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 4040 River Oaks Drive, Myrtle Beach, SC 29579RIA
BD
CRD#: 44430
Myrtle Beach, SC
Past
November 1, 2006 - January 4, 2016
FIRST CITIZENS SECURITIES CORPORATION
BD
CRD#: 140161
NORTH AUGUSTA, SC
Past
June 10, 1999 - November 1, 2006
FIRST CITIZENS INVESTOR SERVICES, INC.
RIA
CRD#: 44430
AIKEN, SC
Past
May 17, 1999 - November 1, 2006
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
RALEIGH, NC
Past
January 1, 1998 - May 19, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
April 5, 1994 - January 1, 1998
NATIONSSECURITIES
BD
CRD#: 32542
Past
January 3, 1994 - April 15, 1994
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
Past
July 21, 1992 - December 31, 1993
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
September 30, 1991 - October 3, 1991
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past
September 30, 1991 - December 11, 1991
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FC
FIRST CITIZENS INVESTOR SERVICES, INC.
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
RIA
Registered Investment Advisory firm - SEC (2/22/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/14/2017)
RR
Arizona(2/14/2017)
RR
Arkansas(1/4/2016)
RR
Florida(1/4/2016)
RR
Georgia(1/4/2016)
RR
Indiana(1/4/2016)
RR
Kansas(2/14/2017)
RR
Maryland(3/30/2021)
RR
North Carolina(1/4/2016)
RR
Ohio(2/14/2017)
RR
Pennsylvania(2/14/2017)
IAR
South Carolina(11/1/2006)
RR
South Carolina(1/4/2016)
RR
Virginia(1/4/2016)
RR
West Virginia(5/9/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FC
FIRST CITIZENS INVESTOR SERVICES, INC.
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
RIA
Registered Investment Advisory firm - SEC (2/22/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
8540 Colonnade Center Drive, Raleigh, NC 27615-3052
Mailing Address
P.o. Box 27131, Raleigh, NC 27611-7131
Phone number
(919) 986-3546
Established
North Carolina since 01/11/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
322
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST-CITIZENS BANK & TRUST COMPANY | 100% OWNER | |
| BILITER, DAVID LEE | DIRECTOR, PRESIDENT | 1690995 |
| CECE, MARY | SECRETARY | 2135583 |
| LONGEST, MICHAEL LEE | DIRECTOR, SENIOR DIRECTOR WEALTH FINANCE & TECHNOLOGY | 6692593 |
| MARRONE, MARK STEPHEN | CHIEF COMPLIANCE OFFICER | 1987907 |
| MCCALLUM, CHARLES FALCONER III | DIRECTOR, SENIOR DIRECTOR WEALTH RISK & GOVERNANCE | 2697260 |
| WALSH, WILLIAM JAMES | DIRECTOR, FIRST CITIZENS OUTSIDE DIRECTOR | 4883580 |
| WILSON, MICHAEL CHRISTOPHER | DIRECTOR, WEALTH MANAGEMENT EXECUTIVE | 4301352 |
Regulatory assets under management
| Total Number of Accounts | 6,706 |
| AUM (Assets Under Management) | $ 2,098,769,026 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/13/2025 |
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.
Company Information
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430Myrtle Beach, SC 29579TRUST BUT VERIFY
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