Todd A. Sipowski
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.
Todd Anthony Sipowski, who also goes by I, Tas Sipowski, Todd A Sipowski, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1996. Todd had worked at 7 firms and has passed the Series 65, 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
October 27, 2016 - December 31, 2018
KOVACK SECURITIES INC.
October 6, 2009 - July 22, 2013
KOVACK ADVISORS, INC.
September 18, 2009 - July 22, 2013
KOVACK SECURITIES INC.
August 1, 2008 - September 23, 2009
NATIONWIDE SECURITIES, LLC
August 1, 2008 - September 23, 2009
NATIONWIDE SECURITIES, LLC
November 2, 2006 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
January 28, 2005 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
November 17, 2004 - November 29, 2006
NATIONWIDE SECURITIES, LLC
March 25, 2003 - July 2, 2004
STATE FARM VP MANAGEMENT CORP.
September 13, 2000 - February 13, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 13, 2000 - February 13, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 21, 1996 - December 21, 2000
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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