Thomas D. Kowalczyk

STEADTRUST

ALLEN, TX

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CRD#: 5630382

Professional summary

Thomas David Kowalczyk, who also goes by Tom Kowalczyk, is a registered financial advisor currently at STEADTRUST located in Allen, Texas.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Thomas has worked at 9 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Kowalczyk

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 Thomas David Kowalczyk'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®

None

Experience

Current

February 10, 2025 - Present

STEADTRUST

RIA

CRD#: 334416

ALLEN, TX

Past

September 8, 2021 - January 17, 2025

B. RILEY WEALTH PRIVATE SHARES

RIA

CRD#: 315851

Dallas, TX

Past

March 15, 2021 - January 17, 2025

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

Dallas, TX

Past

July 17, 2017 - January 17, 2025

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

Dallas, TX

Past

July 17, 2017 - July 22, 2022

NATIONAL SECURITIES CORPORATION

CRD#: 7569

DALLAS, TX

Past

March 31, 2014 - July 17, 2017

WFG ADVISORS, LP

RIA

CRD#: 125073

DALLAS, TX

Past

March 20, 2014 - July 17, 2017

WFG INVESTMENTS, INC.

CRD#: 22704

DALLAS, TX

Past

November 22, 2013 - February 18, 2014

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

BOSTON, MA

Past

November 22, 2013 - February 18, 2014

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

February 5, 2009 - February 18, 2014

SIGNATOR FINANCIAL SERVICES, INC.

RIA

CRD#: 19061

BELLEVUE, WA

Past

February 5, 2009 - February 18, 2014

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

BELLEVUE, WA

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".

STEADTRUST

CRD#: 334416 / SEC#: 801-131951

RIA

Registered Investment Advisory firm - (2/10/2025 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

Texas
(2/10/2025)

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: 1/21/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/4/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/1/2009

General Securities Principal Examination

Current Firm

STEADTRUST

CRD#: 334416 / SEC#: 801-131951

RIA

Registered Investment Advisory firm - (2/10/2025 Approved)

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Contact information

Main Address

Allen, TX

Mailing Address

Po Box 669, Allen, TX 75013

Phone number

(972) 876-8422

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - STEADTRUST (6/2/2025)

WRAP FEE BROCHURE- STEADTRUST (6/2/2025)

Regulatory assets under management

Total Number of Accounts	1,018
AUM (Assets Under Management)	$ 438,883,769

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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Advisor Monitoring

Firm Stability Insights

Thomas D. Kowalczyk

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas David Kowalczyk's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. RILEY WEALTH PRIVATE SHARES

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

WFG ADVISORS, LP

WFG INVESTMENTS, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR FINANCIAL SERVICES, INC.

SIGNATOR FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

STEADTRUST

State Registrations and Notice Filings

Exams

Series 66

Date: 1/21/2009

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/4/2009

Series 24

Date: 12/1/2009

Current Firm

STEADTRUST

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STEADTRUST

TRUST BUT VERIFY

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