Norbert J. Karczewski
NAVY FEDERAL INVESTMENT SERVICES
West Humble, TX 77338
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CRD#: 6146417
Professional summary
Norbert Joseph Karczewski III, CFP®, who also goes by Norb Karczewski, Morbert J Karczewski III, Norbert J Karczewski III, is a registered financial advisor currently at NAVY FEDERAL INVESTMENT SERVICES, LLC located in West Humble, Texas.
Norbert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Norbert has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Norb Karczewski | Morbert J Karczewski Iii | Norbert J Karczewski Iii
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.
Name of the other business: Norbert J. Karczewski III, Inc.
; Whether the business is investment-related: Yes
; Address of the other business: 10700 Richmond Ave Ste 300 Houston TX 7042
; Nature of the other business: Owner/Sole/Partner
; Your position, title, or relationship with the other business: President
; The start date of your relationship: 2/12/2018
; The approximate number of hours/month you devote to the other business: 1 - 5
; The number of hours you devote to the other business during securities trading hours: 0
; Briefly describe your duties relating to the other business: S-Corp for First Command business
CRS (Client Relationship Summary) - RIA
Click below to view Norbert Joseph Karczewski III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Norbert Joseph Karczewski III'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®
CFP®
Start date: 2020
Experience
Current
September 6, 2024 - Present
NAVY FEDERAL INVESTMENT SERVICES, LLC
Office #1: 10011 Fm 1960 Bypass Road, West Humble, TX 77338RIA
BD
CRD#: 138459
West Humble, TX
Current
September 6, 2024 - Present
NAVY FEDERAL INVESTMENT SERVICES, LLC
Office #1: 10011 Fm 1960 Bypass Road, West Humble, TX 77338RIA
BD
CRD#: 138459
West Humble, TX
Past
December 15, 2015 - January 31, 2024
FIRST COMMAND ADVISORY SERVICES
RIA
CRD#: 281958
Houston, TX
Past
April 10, 2013 - December 15, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
RIA
CRD#: 3641
HOUSTON, TX
Past
March 8, 2013 - January 31, 2024
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
HOUSTON, TX
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".
NF
NAVY FEDERAL INVESTMENT SERVICES, LLC
NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
RIA
Registered Investment Advisory firm - SEC (6/21/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
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
RR
Maryland(11/21/2024)
IAR
Maryland(11/21/2024)
RR
Texas(9/6/2024)
IAR
Texas(9/6/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NAVY FEDERAL INVESTMENT SERVICES, LLC
NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
RIA
Registered Investment Advisory firm - SEC (6/21/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1007 Electric Ave, Vienna, VA 22180
Mailing Address
1007 Electric Ave, Vienna, VA 22180
Phone number
(877) 221-8108
Established
Virginia since 09/06/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
176
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,472 |
| AUM (Assets Under Management) | $ 1,713,608,579 |
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.
