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NK

Nancy J Komarowski

CRD# 2921421·Registered 2006 - 2018
Previously Registered: Being a previously registered professional could mean that Nancy 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.

Professional Summary

Nancy J Komarowski, who also goes by Nancy J Kabat, Nancy Kabat, Nancy Kabat, Nancy Joy Komarowski, Nancy Komarowski, was a registered financial advisor. Nancy was a previously registered financial professional and started their career in finance 2006 - 2018. Nancy had worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Nancy J Kabat, Nancy Kabat, Nancy Kabat, Nancy Joy Komarowski, Nancy Komarowski

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

20 years in the financial services industry

Current & Past Employments

LIGHTHOUSE INSTITUTE·CRD# 282604
RIA
North Aurora, IL
February 3, 2018 - December 31, 2018
LPL FINANCIAL LLC·CRD# 6413
BD
North Aurora, IL
February 2, 2018 - August 15, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC·CRD# 2881
RIA
Lombard, IL
April 5, 2017 - February 5, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC·CRD# 2881
BD
Lombard, IL
April 5, 2017 - February 5, 2018
MORGAN STANLEY·CRD# 149777
RIA
Naperville, IL
July 8, 2010 - March 23, 2017
MORGAN STANLEY·CRD# 149777
BD
Naperville, IL
July 8, 2010 - March 23, 2017
UBS FINANCIAL SERVICES INC.·CRD# 8174
RIA
Naperville, IL
September 7, 2006 - July 6, 2010
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Naperville, IL
February 28, 2006 - July 6, 2010

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Current Firm

LI
LIGHTHOUSE INSTITUTE

LIGHTHOUSE FINANCIAL GROUP, LLC | THE LIGHTHOUSE INSTITUTE, INC. | THE LIGHTHOUSE INSTITUTE INC. | LIGHTHOUSE INSTITUTE

CRD#: 282604

Contact Information

Main Address

100 N Lincolnway Suite B, North Aurora, IL 60542

Documents

Latest Form ADV

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Sep 2006About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Aug 2018About the SIE exam

Series 31 — Futures Managed Funds Examination

Passed Sep 2013About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Feb 2006About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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NK
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