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Detailed Report
STEPHEN BERNARD GLOWACKA
STEPHEN B GLOWACKA, STEPHEN GLOWACKA
CRD#: 4584540
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Investment Adviser
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Previous Broker
FACETCRD#: 285961 Gilbert, AZ
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2008 (5 years)2 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2010 (<1 year)2 FIRMS2010 - 2018 (7 years)2 FIRMS2019 - 2019 (<1 year)2 FIRMS2019 - 2021 (1 year)IAFACET (CRD# 285961)2023 - Present (1 year)BBBVA COMPASS INVESTMENT SOLUTI... (CRD# 17086)2010 - 2010 (<1 year)IAHENDERSHOTT WEALTH MANAGEMENT, LLC (CRD# 170839)2022 - 2023 (<1 year)IAFACET WEALTH, INC (CRD# 285961)2021 - 2022 (1 year)IATD AMERITRADE INVESTMENT MANAG... (CRD# 111514)2019 - 2020 (1 year)
License(s)

State Registrations

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Arizona 5/24/2023
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Texas 5/16/2023
Current Registration(s)
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FACET (CRD#:285961)
Gilbert, AZ
Registered with this firm since 5/16/2023
Previous Registration(s)
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 09/28/2022 - 05/14/2023 HENDERSHOTT WEALTH MANAGEMENT, LLC (CRD#:170839) Gilbert, AZ
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 02/24/2021 - 06/13/2022 FACET WEALTH, INC (CRD#:285961) Gilbert, AZ
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 12/02/2019 - 01/11/2021 TD AMERITRADE, INC. (CRD#:7870) Chandler, AZ
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 11/27/2019 - 01/11/2021 TD AMERITRADE, INC. (CRD#:7870) Chandler, AZ
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 12/02/2019 - 12/31/2020 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Chandler, AZ
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 03/01/2019 - 12/02/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) TEMPE, AZ
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 03/01/2019 - 12/02/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) TEMPE, AZ
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 10/04/2010 - 08/02/2018 CHARLES SCHWAB & CO., INC. (CRD#:5393) Phoenix, AZ
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 10/01/2010 - 08/02/2018 CHARLES SCHWAB & CO., INC. (CRD#:5393) Phoenix, AZ
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 04/29/2010 - 09/13/2010 BBVA COMPASS INVESTMENT SOLUTIONS, INC (CRD#:17086) MESA, AZ
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 11/16/2009 - 01/12/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SCOTTSDALE, AZ
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 11/05/2009 - 01/12/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SCOTTSDALE, AZ
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 07/15/2008 - 10/21/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) PHOENIX, AZ
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 07/09/2008 - 10/21/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) PHOENIX, AZ
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 10/30/2002 - 07/02/2008 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) CHANDLER, AZ
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 10/09/2002 - 07/02/2008 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) CHANDLER, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.