Jerome H. Kowalski
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.
Jerome Harry Kowalski was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 1972. Jerome had worked at 8 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 1994 - January 20, 1997
MID-OHIO SECURITIES CORP
September 28, 1990 - June 8, 1994
CAMELOT INVESTMENT CORP.
November 21, 1985 - September 13, 1990
CORNA AND CO., INC.
January 5, 1982 - November 1, 1985
FINANCIAL SQUARE PARTNERS
September 29, 1980 - January 13, 1982
HERZOG, HEINE, GEDULD, LLC
August 16, 1978 - October 20, 1980
FIRST CITIZENS MUNICIPAL CORPORATION
December 23, 1974 - September 4, 1978
COMSTOCK INVESTMENTS, INC.
September 5, 1972 - December 28, 1972
RFI SECURITIES COMPANY
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
Series 1
Date: 8/26/1972
Registered Representative ExaminationCurrent Firm
MID-OHIO SECURITIES CORP
CRD#: 6634 / SEC#: , 8-17918
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DESICH, RICHARD | STOCKHOLDER | 66145 |
| JOHN SPITZER TRUST, J. ALAN SPITZER TRUSTEE | STOCKHOLDER | |
| SPITZER A TEAM LIMITED PARTNERSHIP | STOCKHOLDER | |
| DESICH, JEFFREY ALAN | VICE-PRESIDENT / DIRECTOR / STOCKHOLDER | 2771522 |
| DESICH, RICHARD ANTHONY JR | PRESIDENT/ DIRECTOR / STOCKHOLDER | 2634014 |
| GIBEL, LEONARD JAMES | DIRECTOR | 219934 |
| ONK, JEREMY PATRICK | CHIEF COMPLIANCE OFFICER | 4070958 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 1 |
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.
