Kenneth J. Nowak
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.
Kenneth Jerome Nowak was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1994. Kenneth had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 1997 - March 18, 2021
FMN CAPITAL CORPORATION
June 8, 1994 - March 16, 1995
SUNAMERICA 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
Current Firm
FMN CAPITAL CORPORATION
CRD#: 38105 / SEC#: , 8-48082
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JEFFREY G. MERWIN IRREVOCABLE TRUST DATED 12.29.2021 | OWNER | |
| MATTHEW M. MERWIN IRREVOCABLE TRUST DATED 12.28.2021 | OWNER | |
| JOHN J. MERWIN IRREVOCABLE TRUST DATED 12.28.2021 | OWNER | |
| MERWIN, JOHN J | TRUSTEE | 6249352 |
| MERWIN, MATTHEW SCOTT | FOUNDER/OWNER | 1142898 |
| MERWIN, JEFFREY GEORGE | CHIEF COMPLIANCE OFFICER/TRUSTEE | 5165996 |
| MERWIN, MATTHEW MICHAEL | FINOP, PFO, POO/TRUSTEE | 5930281 |
| TICKEL, GARY ARNOLD | ALTERNATE FINOP | 1100279 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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