David Kotowski
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.
David Kotowski, who also goes by Dave Kotowski, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had worked at 6 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2003 - August 9, 2004
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
September 1, 2000 - October 25, 2001
UBS FINANCIAL SERVICES INC.
April 21, 1995 - September 7, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 26, 1993 - May 4, 1995
GUARDIAN INVESTOR SERVICES LLC
December 19, 1991 - October 19, 1992
HOME LIFE INSURANCE COMPANY
December 19, 1991 - December 31, 1992
WS GRIFFITH SECURITIES, 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 7TO
Date: 4/8/2022
General Securities Representative ExaminationCurrent Firm
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
CRD#: 37710 / SEC#: , 8-47933
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZIGOURAS, ANDREAS | COO | 1248597 |
| CHRIS CHRISTIAN | OWNER | |
| DR. JAN ARNETT | OWNER | |
| BOXER, ALLEN | SHAREHOLDER | 27567 |
| GORGIA, ROBERT JAMES | FINOP-CFO | 1577851 |
| GORGIA, ROBERT JAMES | CHIEF COMPLIANCE OFFICER | 1577851 |
| GRIFFO, WILLIAM | PRESIDENT | 1507328 |
| HOOD, JOHN W. JR. | SHAREHOLDER | |
| MICHAEL PARLAMIS | OWNER | |
| MOLINARI, VINCENT ROBERT | MANAGING DIRECTOR | 1877970 |
| OREILLY, JAMES FRANCIS | CEO | 2209758 |
Disclosures
| Regulatory Event | 2 |
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.
