Marc R. Kowalski

KOWALSKI FINANCIAL

Minneapolis, MN 55426

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CRD#: 2818853

Professional summary

Marc Richard Kowalski, CFP® is a registered financial advisor currently at KOWALSKI FINANCIAL INC. located in Minneapolis, Minnesota.

Marc is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Marc has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Marc Richard Kowalski's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

October 18, 2019 - Present

KOWALSKI FINANCIAL INC.

Office #1: 600 Highway 169 South Suite 655, Minneapolis, MN 55426

RIA

CRD#: 300424

Minneapolis, MN

Past

February 11, 2005 - April 2, 2019

FOCUS FINANCIAL

RIA

CRD#: 116140

MINNEAPOLIS, MN

Past

February 7, 2005 - April 3, 2019

OSAIC WEALTH, INC.

CRD#: 23131

MINNEAPOLIS, MN

Past

January 3, 1997 - February 9, 2005

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 3, 1997 - February 9, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KOWALSKI FINANCIAL INC.

CRD#: 300424 / SEC#: 801-119629

RIA

Registered Investment Advisory firm - (10/13/2020 Approved)

Minnesota

Registered Investment Advisory firm - (10/29/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Minnesota
(10/18/2019)

IAR

Texas
(2/4/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/19/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/16/1996

General Securities Representative Examination

Current Firm

KOWALSKI FINANCIAL INC.

CRD#: 300424 / SEC#: 801-119629

RIA

Registered Investment Advisory firm - (10/13/2020 Approved)

Minnesota

Registered Investment Advisory firm - (10/29/2020 Terminated)

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Contact information

Main Address

600 Highway 169 South Suite 655, Minneapolis, MN 55426

Mailing Address

Phone number

(952) 297-8589

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KOWALSKI FINANCIAL ADV 2A (2/28/2025)

Regulatory assets under management

Total Number of Accounts	676
AUM (Assets Under Management)	$ 175,800,000

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.

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Advisor Monitoring

Firm Stability Insights

Marc R. Kowalski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Richard Kowalski's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOCUS FINANCIAL

OSAIC WEALTH, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

KOWALSKI FINANCIAL INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/19/1996

SIE

Date: 10/1/2018

Series 7

Date: 12/16/1996

Current Firm

KOWALSKI FINANCIAL INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KOWALSKI FINANCIAL INC.

TRUST BUT VERIFY

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