Adam P. Sowa
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.
Adam Paul Sowa was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2004. Adam had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2019 - June 16, 2020
USAA INVESTMENT SERVICES COMPANY
October 24, 2019 - June 16, 2020
USAA FINANCIAL ADVISORS, INC.
January 21, 2015 - December 18, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 16, 2015 - December 18, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2012 - April 9, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - April 9, 2014
J.P. MORGAN SECURITIES LLC
January 20, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
January 12, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 1, 2009 - December 11, 2009
MORGAN STANLEY
June 1, 2009 - December 11, 2009
MORGAN STANLEY
May 14, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
February 22, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
July 29, 2004 - January 20, 2005
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
