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RK

Robert D. Kowalewski

Some features on this profile are disabled
CRD#: 2422618
RK

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.

Robert Dana Kowalewski, AIF® was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
AIF®

Accredited Investment Fiduciary

Experience

Past

November 1, 2024 - April 2, 2026

SS&C MARKET SERVICES, LLC

BD
CRD#: 23568
Braintree, MA
Past

January 24, 2023 - July 26, 2023

TRIAD ADVISORS LLC

BD
CRD#: 25803
Overland Park, KS
Past

October 6, 2022 - July 26, 2023

ONEDIGITAL

RIA
CRD#: 106766
York, PA
Past

October 5, 2017 - June 14, 2021

T. ROWE PRICE INVESTMENT SERVICES, INC.

BD
CRD#: 8348
OWINGS MILLS, MD
Past

April 9, 2013 - October 19, 2015

PNC CAPITAL ADVISORS LLC

RIA
CRD#: 151829
MISHAWAKA, IN
Past

March 13, 2013 - October 20, 2015

FORESIDE DISTRIBUTION SOLUTIONS, LLC

BD
CRD#: 118787
MISHAWAKA, IN
Past

November 17, 2010 - January 14, 2013

NORTHSTAR FINANCIAL PARTNERS, INC.

RIA
CRD#: 107708
TROY, MI
Past

July 31, 2009 - January 14, 2013

NORTHSTAR FINANCIAL PARTNERS, INC.

BD
CRD#: 107708
TROY, MI
Past

June 28, 2007 - May 11, 2009

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

December 14, 2004 - July 2, 2007

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
ROCHESTER, MI
Past

May 2, 2001 - September 17, 2003

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
CINCINNATI, OH
Past

September 11, 1997 - May 2, 2001

OLD KENT FINANCIAL ADVISORS

BD
CRD#: 17039
GRAND RAPIDS, MI
Past

March 4, 1997 - September 17, 1997

BENTLEY-LAWRENCE SECURITIES, INC.

BD
CRD#: 13174
TROY, MI
Past

August 28, 1996 - March 5, 1997

PINEBRIDGE SECURITIES LLC

BD
CRD#: 5967
NEW YORK, NY
Past

November 24, 1993 - December 6, 1994

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/5/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/2/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 12/15/1993
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 11/22/1993
General Securities Representative Examination

Current Firm

SM
SS&C MARKET SERVICES, LLC
AE SERVICES, INC. | WALL STREET PREFERRED MONEY MANAGERS, INC. | WALL STREET ADVISORS, LLC | WALL STREET ADVISORS, INC. | WALL STREET ADVISOR SERVICES, LLC | SS&C MARKET SERVICES, LLC | DST MARKET SERVICES, LLC

CRD#: 23568 / SEC#: , 8-40530

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
One Post Office Square 9th Floor, Boston, MA 02109
Mailing Address
One Post Office Square 9th Floor, Boston, MA 02109
Phone number
(770) 370-4150
Established
New York since 01/12/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SS&C GIDS, INC.100% OWNER
BECK, DANIEL BRIANPRESIDENT3025596
LONG, PATRICK JEROMEHEAD OF OPERATIONS6093124
MULKERN, JOHN JOSEPH JR.CHIEF COMPLIANCE OFFICER AND SECRETARY4197230
PARSONS, ERIC TFINOP, PRINCIPAL FINANCIAL OFFICER5215115
SCHELL, BRIAN NORMANASSISTANT SECRETARY4414042

Disclosures

Regulatory Event1

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

SS&C MARKET SERVICES, LLC

CRD#: 23568

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