Donald M. Kowalsky
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.
Donald Morris Kowalsky was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1972. Donald had worked at 12 firms and has passed the Series 63, Series 7TO, Series 52TO, SIE, Series 53, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2015 - December 5, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
December 1, 2015 - December 5, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 4, 2008 - December 3, 2015
QUESTAR ASSET MANAGEMENT, INC.
June 1, 2006 - December 3, 2015
QUESTAR CAPITAL CORPORATION
December 21, 2005 - June 1, 2006
SIGNATOR FINANCIAL SERVICES, INC.
February 26, 2003 - March 10, 2005
SIGNATOR FINANCIAL SERVICES, INC.
August 15, 2000 - June 1, 2006
SIGNATOR FINANCIAL SERVICES, INC.
January 3, 1989 - January 10, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 28, 1986 - July 11, 1988
MONARCH SECURITIES, INC.
April 15, 1986 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
July 16, 1982 - August 15, 2000
INTERPACIFIC INVESTORS SERVICES, INC.
October 21, 1980 - May 16, 1989
HIMCO DISTRIBUTION SERVICES COMPANY
May 23, 1978 - November 4, 1983
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 14, 1975 - June 8, 1978
HIMCO DISTRIBUTION SERVICES COMPANY
February 13, 1975 - August 5, 1975
THE GREAT-WEST LIFE ASSURANCE COMPANY
May 19, 1972 - January 30, 1975
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 19, 1972 - January 30, 1975
OSAIC FA, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 00
Date: 5/9/1972
General Securities Principal ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
