Kevin A. Sawicki
Professional summary
Kevin Arthur Sawicki was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kevin is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Kevin had worked at 4 firms, which includes STERLING FINANCIAL INVESTMENT GROUP INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, BAXTER BANKS & SMITH LTD., FIRST SECURITIES USA INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2000 - July 5, 2000
STERLING FINANCIAL INVESTMENT GROUP, INC.
July 27, 1999 - June 23, 2000
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 18, 1998 - September 15, 1999
BAXTER BANKS & SMITH, LTD.
August 5, 1998 - November 23, 1998
FIRST SECURITIES USA, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
STERLING FINANCIAL INVESTMENT GROUP, INC.
CRD#: 41506 / SEC#: , 8-49503
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STERLING FINANCIAL GROUP OF COMPANIES, INC. (F/K/A STERLING FINANCIAL HOLDINGS INC.) | COMPANY | |
| GARCIA, CHARLES PATRICK | CHIEF EXECUTIVE OFFICER | 2933864 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
Red Flags
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