AW
Adam V. Waszkowski
NAMCOA
Estero, FL
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CRD#: 2413572
AW
Professional summary
Adam Vernon Waszkowski is a registered financial advisor currently at NAMCOA located in Estero, Florida.
Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Adam has worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 6 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Adam Vernon Waszkowski'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
February 27, 2013 - Present
NAMCOA
RIA
CRD#: 133978
Estero, FL
Past
June 13, 2011 - December 15, 2011
HOLD BROTHERS CAPITAL LLC
BD
CRD#: 151864
NEW YORK, NY
Past
June 1, 2009 - May 26, 2011
MORGAN STANLEY
RIA
CRD#: 149777
NAPLES, FL
Past
June 1, 2009 - May 26, 2011
MORGAN STANLEY
BD
CRD#: 149777
NAPLES, FL
Past
May 30, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NAPLES, FL
Past
May 7, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NAPLES, FL
Past
January 1, 1994 - September 30, 1994
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
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".
NA
NAMCOA
DST INVESTMENTS | ROBIN HANOVER FINANCIAL CONSULTING | NAPLES ASSET MANAGEMENT CO., LLC | NAPLES ASSET MANAGEMENT CO, LLC | NAMCOA | NAMCO BENEFITS | NAMCO AML | NAMCO 401K | NAMCAO | MY ALTS DATA | MCGIBBON ASSET MANAGEMENT | INFINITY FINANCIAL, LLC | INFINITE WEALTH ADVISORS | GREEN VALLEY WEALTH ADVISORS | FLRETIRE.COM | FIRST OREGON | FIRST OF GEORGIA | DST NEWS
CRD#: 133978 / SEC#: 801-66945
RIA
Registered Investment Advisory firm - (7/5/2006 Approved)Florida
Registered Investment Advisory firm - (11/20/2006 Terminated)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
Arizona(7/2/2024)
IAR
California(6/5/2024)
IAR
Florida(2/27/2013)
IAR
Illinois(11/10/2025)
IAR
Michigan(11/10/2025)
IAR
Mississippi(8/14/2025)
IAR
New York(11/10/2025)
IAR
North Carolina(6/5/2024)
IAR
Ohio(11/12/2025)
IAR
Oregon(11/10/2025)
IAR
Pennsylvania(11/10/2025)
IAR
South Carolina(11/10/2025)
IAR
Texas(11/10/2025)
IAR
Virginia(11/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
NA
NAMCOA
DST INVESTMENTS | ROBIN HANOVER FINANCIAL CONSULTING | NAPLES ASSET MANAGEMENT CO., LLC | NAPLES ASSET MANAGEMENT CO, LLC | NAMCOA | NAMCO BENEFITS | NAMCO AML | NAMCO 401K | NAMCAO | MY ALTS DATA | MCGIBBON ASSET MANAGEMENT | INFINITY FINANCIAL, LLC | INFINITE WEALTH ADVISORS | GREEN VALLEY WEALTH ADVISORS | FLRETIRE.COM | FIRST OREGON | FIRST OF GEORGIA | DST NEWS
CRD#: 133978 / SEC#: 801-66945
RIA
Registered Investment Advisory firm - (7/5/2006 Approved)Florida
Registered Investment Advisory firm - (11/20/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
107 Kilson Drive Suite 206, Mooresville, NC 28117
Mailing Address
999 Vanderbilt Beach Road Suite 200, Naples, FL 34108
Phone number
(239) 593-5525
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 462 |
| AUM (Assets Under Management) | $ 312,332,592 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
