Kevin Kowalczyk

CUMBERLAND ADVISORS

Agoura Hills, CA

Some features on this profile are disabled

CRD#: 2262204

Professional summary

Kevin Kowalczyk, who also goes by Kevin Arthur Kowalczyk, Kevin A Kowalczyk, is a registered financial advisor currently at CUMBERLAND ADVISORS located in Agoura Hills, California.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Kevin has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin Arthur Kowalczyk | Kevin A Kowalczyk

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Kowalczyk's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 23, 2025 - Present

CUMBERLAND ADVISORS

RIA

CRD#: 107964

Agoura Hills, CA

Past

November 4, 2020 - January 2, 2025

HENNION & WALSH ASSET MANAGEMENT, INC.

RIA

CRD#: 126236

Agoura Hills, CA

Past

November 3, 2020 - January 2, 2025

HENNION & WALSH, INC.

CRD#: 25766

PARSIPPANY, NJ

Past

July 31, 2019 - January 3, 2020

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

CRD#: 8494

ST. PETERSBURG, FL

Past

August 8, 2014 - July 18, 2019

PROSHARE ADVISORS LLC

RIA

CRD#: 134155

AGOURA HILLS, CA

Past

June 10, 2014 - September 7, 2018

PROFUNDS DISTRIBUTORS, INC.

CRD#: 19541

BETHESDA, MD

Past

October 12, 2011 - February 26, 2014

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

WHEATON, IL

Past

January 7, 2010 - February 26, 2014

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

Past

July 12, 2000 - January 4, 2010

SANCTUARY SECURITIES, INC.

RIA

CRD#: 205

CHICAGO, IL

Past

October 20, 1994 - January 4, 2010

SANCTUARY SECURITIES, INC.

CRD#: 205

CHICAGO, IL

Past

September 27, 1994 - October 19, 1994

SANCTUARY SECURITIES, INC.

CRD#: 205

Past

July 6, 1993 - November 3, 1994

HAMILTON INVESTMENTS, INC.

CRD#: 821

Past

August 17, 1992 - July 22, 1993

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

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".

CUMBERLAND ADVISORS

CUMBERLAND ADVISORS | CUMBERLAND CONSULTING | CUMBERLAND ADVISORS INC

CRD#: 107964 / SEC#: 801-55344

RIA

Registered Investment Advisory firm - (2/27/1998 Approved)

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.

Highlighted states indicate IAR registrations

IAR

California
(9/23/2025)

IAR

Florida
(10/27/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/20/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/17/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/7/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/13/1992

General Securities Representative Examination

Current Firm

CUMBERLAND ADVISORS

CUMBERLAND ADVISORS | CUMBERLAND CONSULTING | CUMBERLAND ADVISORS INC

CRD#: 107964 / SEC#: 801-55344

RIA

Registered Investment Advisory firm - (2/27/1998 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1 South School Avenue Suite 900, Sarasota, FL 34237

Mailing Address

Phone number

(800) 257-7013

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (47 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2B (3/4/2025)

ADV PART 2A (3/4/2025)

Regulatory assets under management

Total Number of Accounts	2,550
AUM (Assets Under Management)	$ 3,348,228,828

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kevin Kowalczyk

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Kowalczyk's CRS (Customer Relationship Summary).

Certified licenses

Experience

HENNION & WALSH ASSET MANAGEMENT, INC.

HENNION & WALSH, INC.

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

PROSHARE ADVISORS LLC

PROFUNDS DISTRIBUTORS, INC.

FIRST TRUST ADVISORS LP

FIRST TRUST PORTFOLIOS L.P.

SANCTUARY SECURITIES, INC.

SANCTUARY SECURITIES, INC.

SANCTUARY SECURITIES, INC.

HAMILTON INVESTMENTS, INC.

H.J. MEYERS & CO., INC.

Primary Firm SEC Registration

CUMBERLAND ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/1999

Series 63

Date: 8/17/1992

SIE

Date: 9/7/2018

Series 7

Date: 8/13/1992

Current Firm

CUMBERLAND ADVISORS

Contact information

SEC notice filing (47 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CUMBERLAND ADVISORS

TRUST BUT VERIFY

Similar Advisors