Keith Thomas Kowalczyk
Professional Summary
Keith Thomas Kowalczyk, who also goes by Keith T Kowalczyk, is a registered financial advisor currently at EKON ADVISORS, LLC located in St. Louis, Missouri and MUTUAL SECURITIES, INC. located in St. Louis, Missouri. Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Keith has worked at 3 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 6...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Keith T Kowalczyk
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Years of Experience
23 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current Firm
EKON ADVISORS, LLC
Contact Information
Main Address
4940 Washington Blvd., St. Louis, MO 63108Phone Number
(314) 367-6327# of Employees
3SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
15AUM (Assets Under Management)
$219,757,130Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 | Cover Page | Report |
| 07/25/2024 | Cover Page | Report |
| 10/26/2023 | Cover Page | Report |
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
EKON ADVISORS, LLC
State Registrations and Notice Filings
(1/3/2022)
(1/10/2023)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2003About the Series 6 examSRO Registrations
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRS (Client Relationship Summary) - RIA
Click below to view Keith Thomas Kowalczyk's CRS (Customer Relationship Summary).
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED