John K. Nawrocki

PALMETTO ADVISORY

Bridgeport, CT

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CRD#: 5814147

Professional summary

John Karl Nawrocki is a registered financial advisor currently at PALMETTO ADVISORY located in Bridgeport, Connecticut and PALMETTO ADVISORY GROUP, LLC located in Kiawah Island, South Carolina.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. John has worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Investment Office Resources, 8301 Maryland Avenue, Suite 300, St. Louis, MO 63105. Position is not investment related. Operations Advisor. Start date: December 2021. Consulting on Middle Offie Investment Operations. 30 hours per month; zero during trading hours. Invictus Financial Development LLC, 325 LaFayette Street, Unit 6101, Bridgeport, CT 06604. Position is not investment related, firm works with investment managers. CEO. Start date: September 2016. Product development and investment technology consultancy working with investment managers. 15 hours per week, 3 hours during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Karl Nawrocki's 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

November 9, 2021 - Present

PALMETTO ADVISORY

RIA

CRD#: 152286

Bridgeport, CT

Current

August 10, 2021 - Present

PALMETTO ADVISORY GROUP, LLC

CRD#: 150270

KIAWAH ISLAND, SC

Past

August 2, 2019 - December 31, 2020

PALMETTO ADVISORY GROUP, LLC

CRD#: 150270

KIAWAH ISLAND, SC

Past

September 29, 2010 - August 26, 2011

CAPITAL RESOURCE FINANCIAL SERVICES, L.L.C.

CRD#: 44054

DARIEN, CT

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(9/8/2021)

IAR

Connecticut
(11/9/2021)

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

State Security Law Exam

IAR

Series 66

Date: 8/27/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/2/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/12/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/27/2010

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PALMETTO ADVISORY

PALMETTO ADVISORY | PALMETTO ADVISORY LLC | PALMETTO ADVISORY GROUP

CRD#: 152286 / SEC#:

California

Registered Investment Advisory firm - (5/15/2024 Approved)

Connecticut

Registered Investment Advisory firm - (11/9/2021 Approved)

Florida

Registered Investment Advisory firm - (10/28/2010 Approved)

Georgia

Registered Investment Advisory firm - (7/28/2010 Approved)

Massachusetts

Registered Investment Advisory firm - (8/31/2021 Approved)

Minnesota

Registered Investment Advisory firm - (11/8/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (6/30/2010 Approved)

South Carolina

Registered Investment Advisory firm - (3/9/2010 Approved)

Washington

Registered Investment Advisory firm - (12/23/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/5/2010 Approved)

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).

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Contact information

Main Address

Kiawah Island, SC

Mailing Address

Phone number

(404) 402-7016

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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John K. Nawrocki

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Karl Nawrocki's CRS (Customer Relationship Summary).

Certified licenses

Experience

PALMETTO ADVISORY

PALMETTO ADVISORY GROUP, LLC

PALMETTO ADVISORY GROUP, LLC

CAPITAL RESOURCE FINANCIAL SERVICES, L.L.C.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/27/2019

Series 7TO

Date: 8/2/2019

SIE

Date: 7/12/2019

Series 7

Date: 9/27/2010

FINRA

Current Firm

PALMETTO ADVISORY

Contact information

Documents

Red Flags

Company Information

PALMETTO ADVISORY

TRUST BUT VERIFY

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