Michael J. Pawlowski
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.
Michael Joseph Pawlowski was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 5 firms and has passed the Series 66, SIE 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
January 3, 2017 - September 19, 2022
ALT FUND DISTRIBUTORS LLC
November 13, 2014 - December 31, 2016
EQUITABLE ADVISORS, LLC
November 12, 2014 - January 3, 2017
EQUITABLE ADVISORS, LLC
June 1, 2009 - August 29, 2013
MORGAN STANLEY
June 1, 2009 - August 29, 2013
MORGAN STANLEY
April 26, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 29, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 13, 2006 - October 31, 2006
MORGAN STANLEY DW 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
ALT FUND DISTRIBUTORS LLC
CRD#: 146547 / SEC#: , 8-67829
Contact information
FINRA licenses (51 States and Territories)
Documents
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.
