Frederick J. Kotowitz
Professional summary
Frederick Juri Kotowitz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frederick is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Frederick had worked at 11 firms, which includes LPL FINANCIAL LLC, AST INVESTMENT SERVICES INC., PRUDENTIAL ANNUITIES DISTRIBUTORS INC, TD AMERITRADE INC., TD AMERITRADE INVESTMENT MANAGEMENT LLC, AXCELUS FINANCIAL DISTRIBUTION COMPANY, VP DISTRIBUTORS LLC, DIRECTED SERVICES LLC, VOYA FINANCIAL PARTNERS LLC, WELLS FARGO CLEARING SERVICES LLC, TUCKER ANTHONY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2011 - July 31, 2013
LPL FINANCIAL LLC
October 21, 2011 - July 31, 2013
LPL FINANCIAL LLC
December 8, 2010 - February 4, 2011
AST INVESTMENT SERVICES, INC.
December 8, 2010 - February 4, 2011
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
March 1, 2010 - October 27, 2010
TD AMERITRADE, INC.
March 1, 2010 - October 27, 2010
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 1, 2010 - October 27, 2010
TD AMERITRADE, INC.
February 4, 2009 - July 27, 2009
AXCELUS FINANCIAL DISTRIBUTION COMPANY
September 19, 2005 - February 4, 2009
VP DISTRIBUTORS LLC
July 21, 2004 - August 10, 2005
DIRECTED SERVICES LLC
May 13, 2003 - July 23, 2004
VOYA FINANCIAL PARTNERS, LLC
September 20, 2001 - July 15, 2002
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2000 - September 18, 2001
TUCKER ANTHONY INCORPORATED
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
