BP
Brian J. Pawlowicz
FIRST TRUST ADVISORS LP
CHICAGO, IL
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CRD#: 3096342
BP
Professional summary
Brian Joseph Pawlowicz is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Chicago, Illinois and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Brian has worked at 11 firms and has passed the Series 66, SIE, Series 3 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.
OTHER BUSINESS NAME: SMOKE DADDY. LOCATION: 3636 N. CLARK ST. CHICAGO, IL. 60613. NATURE OF BUSINESS: BBQ RESTAURANT. POSITION OR TITLE: PASSIVE INVESTOR. RESPONSIBILITIES: N/A PASSIVE INVESTMENT. START DATE: 3/28/22 (FT DATE OF HIRE). INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL / DURING MARKET HOURS): 0 TOTAL / 0 DURING MARKET HOURS. OTHER BUSINESS NAME: RENTAL PROPERTY. LOCATION: 1933 N. DAYTON ST. #2F CHICAGO, IL 60614. NATURE OF BUSINESS: RENTAL PROPERTY. POSITION OR TITLE: PASSIVE INVESTOR. RESPONSIBILITIES: N/A PASSIVE INVESTOR. START DATE: 03/28/2022 (FT DATE OF HIRE). INVESTMENT-RELATED (TOTAL/DURING MARKET HOURS): 0 TOTAL / 0 DURING MARKET HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Joseph Pawlowicz's 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®
NoneExperience
Current
July 27, 2023 - Present
FIRST TRUST ADVISORS LP
RIA
CRD#: 107027
CHICAGO, IL
Current
March 28, 2022 - Present
FIRST TRUST PORTFOLIOS L.P.
Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187BD
CRD#: 28519
WHEATON, IL
Past
January 4, 2016 - March 25, 2022
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
PORTLAND, ME
Past
February 15, 2011 - December 31, 2015
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
September 9, 2009 - April 30, 2010
ALPHAMAX DISTRIBUTORS, L.L.C.
BD
CRD#: 8258
LA JOLLA, CA
Past
June 15, 2009 - September 22, 2009
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
SAN FRANCISCO, CA
Past
October 12, 2004 - June 12, 2009
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
February 8, 2002 - September 27, 2004
FORESIDE DISTRIBUTION SERVICES, L.P.
BD
CRD#: 15634
PORTLAND, ME
Past
January 10, 2002 - January 25, 2002
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
July 13, 2001 - December 31, 2001
OLD SLIP CAPITAL MANAGEMENT, INC.
BD
CRD#: 7360
NEW YORK, NY
Past
September 21, 1998 - October 7, 1999
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 21, 1998 - October 7, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
BD
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".
FT
FIRST TRUST ADVISORS LP
FIRST TRUST ADVISORS LP
CRD#: 107027 / SEC#: 801-39950
RIA
Registered Investment Advisory firm - (10/4/1991 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/16/2024)
RR
Alaska(12/16/2024)
RR
Arizona(12/16/2024)
RR
Arkansas(12/16/2024)
RR
California(12/16/2024)
RR
Colorado(12/16/2024)
RR
Connecticut(12/16/2024)
RR
Delaware(12/16/2024)
RR
District of Columbia(12/16/2024)
RR
Florida(12/16/2024)
IAR
Florida(1/7/2025)
RR
Georgia(12/16/2024)
RR
Hawaii(12/16/2024)
RR
Idaho(12/16/2024)
RR
Illinois(3/28/2022)
IAR
Illinois(7/27/2023)
RR
Indiana(12/16/2024)
RR
Iowa(12/16/2024)
RR
Kansas(12/16/2024)
RR
Kentucky(12/16/2024)
RR
Louisiana(12/16/2024)
RR
Maine(12/16/2024)
RR
Maryland(12/16/2024)
RR
Massachusetts(12/16/2024)
RR
Michigan(12/16/2024)
RR
Minnesota(12/16/2024)
RR
Mississippi(12/16/2024)
RR
Missouri(12/16/2024)
RR
Montana(12/16/2024)
RR
Nebraska(12/16/2024)
RR
Nevada(12/16/2024)
RR
New Hampshire(12/16/2024)
RR
New Jersey(12/16/2024)
RR
New Mexico(12/16/2024)
RR
New York(12/16/2024)
RR
North Carolina(12/16/2024)
RR
North Dakota(12/16/2024)
RR
Ohio(12/17/2024)
RR
Oklahoma(12/16/2024)
RR
Oregon(12/16/2024)
RR
Pennsylvania(12/16/2024)
RR
Puerto Rico(12/16/2024)
RR
Rhode Island(12/16/2024)
RR
South Carolina(12/16/2024)
RR
South Dakota(12/16/2024)
RR
Tennessee(12/16/2024)
RR
Texas(12/16/2024)
IAR
Texas(12/16/2024)
RR
Utah(12/16/2024)
RR
Vermont(12/16/2024)
RR
Virginia(12/16/2024)
RR
Washington(12/16/2024)
RR
West Virginia(12/16/2024)
RR
Wisconsin(12/16/2024)
RR
Wyoming(12/16/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FT
FIRST TRUST ADVISORS LP
FIRST TRUST ADVISORS LP
CRD#: 107027 / SEC#: 801-39950
RIA
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Contact information
Main Address
120 E. Liberty Drive Suite 400, Wheaton, IL 60187
Mailing Address
Phone number
(630) 765-8000
Established
Firm type
Fiscal year end
# of Employees
520
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,033 |
| AUM (Assets Under Management) | $ 256,328,000,000 |
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.
