Ken Kowalski, financial advisor Lynchburg VA
93 score

Ken Kowalski

CRD Number: 1045772
Current Firm: Mml Investors Services, LLC

Ken Kowalski (CRD# 1045772) is an Investment Advisor Representative working at Mml Investors Services, LLC in Lynchburg, VA and has over 22 years of experience in the finance industry.

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Company Name Location Dates Years
Mml Investors Services, Inc. Lynchburg, VA Jan 1994 - Current 22
Massachusetts Mutual Life Insurance Comp Springfield, MA Jan 1994 - Current 22
#ia Mml Investors Services, Inc. Va Beach, VA Jan 1994 - Current 22
Self Employed Lynchburg, VA Aug 1978 - Current 38
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1994
S65 NASAA Investment Advisors Law Examination May 1997
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Ken C. Kowalski
Phone Number: (413)737-8400
Registered State(s):
  • VA
By the Numbers
  • Total Assets Under Management
    666
    MILLIONS
  • Total Number of Accounts
    3,874
    ACCOUNTS
  • Average Account Value
    $171,955
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
93

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