Steven Edward Kowalski

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2011-12-22
TX	RA	APPROVED_RES	2008-12-19
FL	RA	APPROVED	2008-12-18

CA RA
APPROVED

Since 2011-12-22
TX RA
APPROVED_RES

Since 2008-12-19
FL RA
APPROVED

Since 2008-12-18

Branch Locations

2301 Se Monterey Rd, Stuart, FL 34996 • United States

Okeechobee, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	La Jolla	CA	12/2008	Present
Bank Of America, N.A.	La Jolla	CA	12/2009	Present

12/2008 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

La Jolla, CA
12/2009 → Present

Bank Of America, N.A.

La Jolla, CA

Previous Registrations

2003-07-23 → 2008-12-09

Wells Fargo Clearing Services, Llc

Coral Springs, FL

Fort Lauderdale, FL

Coral Springs, FL

Coral Springs, FL
2001-02-26 → 2003-07-16

Morgan Stanley Dw Inc.

Coralsprings, FL

Other Businesses

I*4626299 Entity Type: For Profit Name of OBA: Rolling Thunder Ranch Address: Okeechobee, Florida, 34974 Investment Related: No Position, Title, Association: Owner Employee Start Date: 05/28/2026 Number of Hours: 10, Weekly Number of Hours during trading: 0 Duties: Livestock and Farming Owner - labor and raising livestock

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-11-22
S63	Uniform Securities Agent State Law Examination	1994-07-26

S65 Uniform Investment Adviser Law Examination

1995-11-22
S63 Uniform Securities Agent State Law Examination

1994-07-26

Other Names

Steve Kowalski

View on SEC IAPD