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ANTHONY JOSEPH KOWALSKI
TONY KOWALSKI
CRD#: 1736228
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 711 E HENDERSON AVENUE
TAMPA, FL 33602
CETERA INVESTMENT SERVICES LLCCRD#: 15340 711 E HENDERSON AVENUE
TAMPA, FL 33602
Registration History
199019952000200520102015202020252 FIRMS2010 - 2015 (5 years)2 FIRMS2015 - Present (9 years)BCUNA BROKERAGE SERVICES, INC. (CRD# 13941)2002 - 2010 (7 years)BLASALLE ST SECURITIES, L.L.C. (CRD# 7191)1997 - 2002 (4 years)BSAPERSTON FINANCIAL INC. (CRD# 27863)1994 - 1997 (3 years)BSOVEREIGN EQUITY MANAGEMENT CORP. (CRD# 20016)1992 - 1994 (2 years)BCHATFIELD DEAN & CO., INC. (CRD# 14714)1990 - 1992 (1 year)BTHE STUART-JAMES COMPANY, INCO... (CRD# 11691)1987 - 1990 (3 years)IACUNA BROKERAGE SERVICES, INC. (CRD# 13941)2003 - 2010 (6 years)
Disclosure(s)
View By:
12/3/2002
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 7/24/2023

B
Michigan 5/17/2016

B
Arizona 6/7/2021

B
Mississippi 5/12/2021

B
Arkansas 9/21/2015

B
New York 4/24/2018

B
California 7/2/2024

B
North Carolina 9/21/2015

B
Connecticut 10/5/2020

B
Ohio 9/21/2018

B
Florida 9/21/2015

B
Oklahoma 9/21/2017

IA
Florida 9/25/2015

B
South Carolina 9/21/2015

B
Georgia 9/21/2015

B
Tennessee 9/21/2015

B
Illinois 2/1/2022

B
Texas 10/8/2015

B
Kansas 6/30/2021

IA
Texas 1/12/2023

B
Maine 4/12/2022

B
Virginia 9/21/2015

B
Maryland 9/21/2015

B
Washington 5/20/2021

B
Massachusetts 5/22/2018

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
711 E HENDERSON AVENUE, TAMPA, FL 33602
Registered with this firm since 9/25/2015

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
711 E HENDERSON AVENUE, TAMPA, FL 33602
Registered with this firm since 9/21/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/14/2010 - 09/21/2015 INVESTMENT CENTERS OF AMERICA, INC. (CRD#:16443) CRYSTAL RIVER, FL
B
07/01/2010 - 09/21/2015 INVESTMENT CENTERS OF AMERICA, INC. (CRD#:16443) CRYSTAL RIVER, FL
IA
12/05/2003 - 07/02/2010 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) CLEARWATER, FL
B
09/25/2002 - 07/02/2010 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) CLEARWATER, FL
B
10/02/1997 - 09/17/2002 LASALLE ST SECURITIES, L.L.C. (CRD#:7191) ELMHURST, IL
B
09/12/1994 - 10/16/1997 SAPERSTON FINANCIAL INC. (CRD#:27863) BUFFALO, NY
B
03/30/1992 - 10/06/1994 SOVEREIGN EQUITY MANAGEMENT CORP. (CRD#:20016) DEERFIELD BEACH, FL
B
11/24/1990 - 04/07/1992 CHATFIELD DEAN & CO., INC. (CRD#:14714) GREENWOOD VILLAGE, CO
B
11/25/1987 - 11/30/1990 THE STUART-JAMES COMPANY, INCORPORATED (CRD#:11691) DENVER, CO
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B
Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.