Stephen B. Glowacka

FACET

Gilbert, AZ

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CRD#: 4584540

Professional summary

Stephen Bernard Glowacka, CFP®, who also goes by Stephen B Glowacka, Stephen Glowacka, is a registered financial advisor currently at FACET located in Gilbert, Arizona.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Stephen has worked at 9 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen B Glowacka | Stephen Glowacka

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Bernard Glowacka's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

May 16, 2023 - Present

FACET

RIA

CRD#: 285961

Gilbert, AZ

Past

September 28, 2022 - May 14, 2023

HENDERSHOTT WEALTH MANAGEMENT, LLC

RIA

CRD#: 170839

Gilbert, AZ

Past

February 24, 2021 - June 13, 2022

FACET

RIA

CRD#: 285961

Gilbert, AZ

Past

December 2, 2019 - December 31, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Chandler, AZ

Past

December 2, 2019 - January 11, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

Chandler, AZ

Past

November 27, 2019 - January 11, 2021

TD AMERITRADE, INC.

CRD#: 7870

Chandler, AZ

Past

March 1, 2019 - December 2, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

TEMPE, AZ

Past

March 1, 2019 - December 2, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

TEMPE, AZ

Past

October 4, 2010 - August 2, 2018

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Phoenix, AZ

Past

October 1, 2010 - August 2, 2018

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Phoenix, AZ

Past

April 29, 2010 - September 13, 2010

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

MESA, AZ

Past

November 16, 2009 - January 12, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

SCOTTSDALE, AZ

Past

November 5, 2009 - January 12, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

SCOTTSDALE, AZ

Past

July 15, 2008 - October 21, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PHOENIX, AZ

Past

July 9, 2008 - October 21, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PHOENIX, AZ

Past

October 30, 2002 - July 2, 2008

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

CHANDLER, AZ

Past

October 9, 2002 - July 2, 2008

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

CHANDLER, AZ

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".

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 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.

Highlighted states indicate IAR registrations

IAR

Arizona
(5/24/2023)

IAR

Texas
(5/16/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/18/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/22/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/2/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/8/2002

General Securities Representative Examination

Current Firm

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 Approved)

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Contact information

Main Address

400 East Pratt Street 8th Floor, Baltimore, MD 21202

Mailing Address

Phone number

(443) 376-6222

Established

Firm type

Fiscal year end

# of Employees

174

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	36,817
AUM (Assets Under Management)	$ 4,754,146,771

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/29/2025	Cover Page	Report

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.

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Firm Stability Insights

Stephen B. Glowacka

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Bernard Glowacka's CRS (Customer Relationship Summary).

Certified licenses

Experience

HENDERSHOTT WEALTH MANAGEMENT, LLC

FACET

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

Primary Firm SEC Registration

FACET

State Registrations and Notice Filings

Exams

Series 66

Date: 10/18/2002

Series 7TO

Date: 12/22/2022

SIE

Date: 8/2/2018

Series 7

Date: 10/8/2002

Current Firm

FACET

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FACET

TRUST BUT VERIFY

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