Walter G. Kowalewski
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.
Walter Gordon Kowalewski, who also goes by Walter G Kowalewski, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 2000. Walter had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2013 - June 9, 2016
ALLIANCEBERNSTEIN INVESTMENTS, INC.
December 7, 2011 - June 22, 2012
DEUTSCHE BANK SECURITIES INC.
February 4, 2010 - September 28, 2010
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
February 24, 2009 - October 23, 2009
J.P. MORGAN SECURITIES LLC
March 3, 2008 - December 31, 2008
J.P. MORGAN CLEARING CORP.
April 11, 2006 - February 5, 2009
J.P. MORGAN SECURITIES LLC
October 13, 2003 - February 13, 2006
HSBC SECURITIES (USA) INC.
January 29, 2001 - February 11, 2002
UBS FINANCIAL SERVICES INC.
August 24, 2000 - January 25, 2001
NEBRASKA HUDSON COMPANY, INC.
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
Current Firm
ALLIANCEBERNSTEIN INVESTMENTS, INC.
CRD#: 14549 / SEC#: , 8-30851
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCEBERNSTEIN CORPORATION OF DELAWARE ("ABCD") | PARENT OF REGISTRANT | |
| ARCHARD, NOEL CHRISTIAN | HEAD OF ETF AND PORTFOLIO SOLUTIONS | 2563745 |
| GESSNER, MARK ANDREW | CHIEF EXECUTIVE OFFICER | 2447287 |
| KRUEGER, GARY MICHAEL | DIRECTOR, CHIEF FINANCIAL OFFICER | 2840211 |
| MANLEY, MARK RANDALL | DIRECTOR AND CORPORATE SECRETARY | 1294370 |
| WRIGHT, DANIEL EUGENE | CHIEF COMPLIANCE OFFICER | 2204732 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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