Peter M. Owsiak

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CRD#: 5803409

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.

Peter Michael Owsiak, who also goes by Peter M Owsiak, Peter Owsiak, was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 2010. Peter had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Peter M Owsiak | Peter Owsiak

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 1, 2017 - February 23, 2021

GOUWS CAPITAL LLC

RIA

CRD#: 153812

CHARLOTTE, NC

Past

June 24, 2016 - November 2, 2017

BMO ASSET MANAGEMENT CORP.

RIA

CRD#: 106466

CHICAGO, IL

Past

June 17, 2016 - June 20, 2016

BMO ASSET MANAGEMENT CORP.

RIA

CRD#: 106466

CHICAGO, IL

Past

March 24, 2015 - November 2, 2017

BMO INVESTMENT DISTRIBUTORS, LLC

CRD#: 146711

CHICAGO, IL

Past

January 8, 2013 - August 27, 2014

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

HIGHLAND PARK, IL

Past

November 9, 2011 - December 14, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WAUKESHA, WI

Past

November 9, 2011 - December 14, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WAUKESHA, WI

Past

September 8, 2010 - September 8, 2010

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

PALM BEACH GARDENS, FL

Past

September 8, 2010 - September 8, 2010

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

PALM BEACH GARDENS, FL

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".

GOUWS CAPITAL LLC

GOUWS CAPITAL LLC | GOUWS CAPITAL, LLC

CRD#: 153812 / SEC#: 801-122419

RIA

Registered Investment Advisory firm - (9/30/2021 Approved)

North Carolina

Registered Investment Advisory firm - (10/7/2021 Terminated)

Texas

Registered Investment Advisory firm - (10/6/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 7/28/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 11/2/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/7/2010

General Securities Representative Examination

Current Firm

GOUWS CAPITAL LLC

GOUWS CAPITAL LLC | GOUWS CAPITAL, LLC

CRD#: 153812 / SEC#: 801-122419

RIA

Registered Investment Advisory firm - (9/30/2021 Approved)

North Carolina

Registered Investment Advisory firm - (10/7/2021 Terminated)

Texas

Registered Investment Advisory firm - (10/6/2021 Terminated)

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Contact information

Main Address

15720 Brixham Hill Avenue Suite 300, Charlotte, NC 28277

Mailing Address

Phone number

(704) 944-3233

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GOUWS CAPITAL BROCHURE (2/16/2025)

Regulatory assets under management

Total Number of Accounts	95
AUM (Assets Under Management)	$ 158,714,466

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

Peter M. Owsiak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BMO ASSET MANAGEMENT CORP.

BMO ASSET MANAGEMENT CORP.

BMO INVESTMENT DISTRIBUTORS, LLC

FIDELITY BROKERAGE SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MONEY CONCEPTS CAPITAL CORP

MONEY CONCEPTS CAPITAL CORP

Primary Firm SEC Registration

GOUWS CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/28/2010

SIE

Date: 11/2/2017

Series 7

Date: 9/7/2010

Current Firm

GOUWS CAPITAL LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GOUWS CAPITAL LLC

TRUST BUT VERIFY

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