Joshua T. Nowitzky
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.
Joshua Thomas Nowitzky, CFP®, who also goes by Josh Nowitzky, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2017. Joshua had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2021 - April 19, 2022
KEENER FINANCIAL PLANNING
February 23, 2021 - June 15, 2021
FISHER INVESTMENTS
September 8, 2019 - February 25, 2021
SCHWAB WEALTH ADVISORY, INC.
September 28, 2018 - September 8, 2019
CHARLES SCHWAB & CO., INC.
October 19, 2017 - February 25, 2021
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
KEENER FINANCIAL PLANNING
CRD#: 147615 / SEC#: 801-115127
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 7/8/2022
General Securities Representative ExaminationCurrent Firm
KEENER FINANCIAL PLANNING
CRD#: 147615 / SEC#: 801-115127
Contact information
SEC notice filing (15 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 658 |
| AUM (Assets Under Management) | $ 362,780,822 |
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.
