James Robert Nowak

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2006 → Present
  Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
  Raleigh, NC

Other Businesses

1. 7/11/2006 - NOWAK WEALTH MANAGEMENT GROUP - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE DBA - TIME SPENT 7% - SELL LTC, FIXED ANNUITIES, HEALTH, FIXED LIFE, AND UNIVERSAL INSURANCE. 2. 1/10/2017 - Kinsella Building, LLC - Investment Related - Home Based - Other-Business Owner - Member/Manager/President - Started 10/01/2010 - 2 Hours Per Month/0 Hours During Securities Trading - Construction business - Primary duties of hiring management and strategic vision, some limited field work. 3. 3/20/2018 - Nowak Wealth Management Group, LLC - DBA: Nowak Wealth Management Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/07/2006 - 160 Hours Per Month During Securities Trading. 4. 2/25/2020 - WillowTrust Wealth Management - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - 12 Hours Per Month During Securities Trading. 5. 2/25/2020 - WillowTrust Wealth Management, LLC - DBA: WillowTrust Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/09/2020 - 160 Hours Per Month/6 Hours During Securities Trading. 6. 2/25/2020 - WillowTrust Accounting, LLC - Investment Related - Home Based & At Reported Business Location(s) - Tax Prep/Accounting/CPA - Co-founder - Started 12/01/2019 - 20 Hours Per Month/5 Hours During Securities Trading - Business development, strategic planning, operations, client meetings to review opportunities to bring wealth solutions (delivered through LPL). 7. 4/28/2020 - WillowTrust Wealth & Accounting - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/09/2020 - 15 Hours Per Month/8 Hours During Securities Trading. 8. 10/13/2020 - Wake Technical Community College - Not Investment Related - 9101 Fayetteville Rd, Raleigh, NC 27603 - Outside/W-2 Employment - Adjunct Instructor - Start Date: 10/15/2020 - 8 Hours Per Month/0 Hours During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-11-14
• S63 Uniform Securities Agent State Law Examination
  1999-09-20