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JOSEPH MICHAEL NOWAK
CRD#: 731073
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CALIFORNIA ST
SAN FRANCISCO, CA 94104
Registration History
198519901995200020052010201520202025IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1995 - Present (30 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1989 - Present (35 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1981 - 1988 (7 years)
Disclosure(s)
View By:
8/25/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Alaska 6/11/1998

B
Minnesota 5/4/1989

B
Arizona 11/14/2014

B
Nevada 4/30/1991

B
California 5/3/1989

B
New Jersey 9/7/2022

IA
California 7/8/1997

B
New York 3/26/1993

B
Colorado 7/25/2024

B
North Carolina 10/29/2009

B
District of Columbia 1/20/2023

B
Ohio 1/12/1995

B
Florida 5/8/1989

B
Oregon 4/19/1993

B
Georgia 7/5/2022

B
South Dakota 11/11/2004

B
Hawaii 8/16/2007

B
Texas 1/12/1995

B
Idaho 3/31/1993

IA
Texas 1/12/1995

B
Illinois 3/5/1990

B
Utah 10/8/2004

B
Kentucky 7/24/2017

B
Virginia 10/29/2010

B
Maryland 12/17/2018

B
Washington 2/7/1995

B
Massachusetts 12/3/2008

B
Wisconsin 12/9/2019

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CALIFORNIA ST, SAN FRANCISCO, CA 94104
Registered with this firm since 1/12/1995

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CALIFORNIA ST, SAN FRANCISCO, CA 94104
Registered with this firm since 5/3/1989

Previous Registration(s)
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B
05/18/1981 - 09/06/1988 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
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B
Broker
IA
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.