Nicholas James Nowakowski
CFP®Professional Summary
Nicholas James Nowakowski, CFP®, who also goes by Nick Nowakowski, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Plano, Texas and VANGUARD MARKETING CORPORATION located in Plano, Texas. Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Nicholas has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nicholas James Nowakowski, Nick Nowakowski
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
NYLIFE SECURITIES LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
NYLIFE SECURITIES LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
NYLIFE SECURITIES LLC
Disclosures on record.
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.
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
NYLIFE SECURITIES LLC
Credentials
Years of Experience
14 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
NYLIFE SECURITIES LLC
Current Firm
VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.
Contact Information
Main Address
100 Vanguard Blvd, Malvern, PA 19355Phone Number
(610) 669-1000# of Employees
2,208SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
791,528AUM (Assets Under Management)
$344,619,578,214Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/23/2026 | Cover Page | Report |
| 07/24/2025 | Cover Page | Report |
| 10/23/2024 | Cover Page | Report |
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
NYLIFE SECURITIES LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.
State Registrations and Notice Filings
(7/22/2013)
(9/2/2016)
(9/2/2016)
(1/7/2022)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2012About the Series 6 examSRO Registrations
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
NYLIFE SECURITIES LLC
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas James Nowakowski's CRS (Customer Relationship Summary).
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
NYLIFE SECURITIES LLC