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Jon Pawlowski

Director of Regulatory Compliance, Non-Member at Stratos Wealth Partners

Investment adviser and broker registrationsBeachwood, OHSEC record checked 18 October 2026

17
Years in the industry
5
Years at the firm
3
Adviser firms
2
State registrations

IAPD record retrieved 18 October 2026SEC record

Jon Pawlowski is Director of Regulatory Compliance, Non-Member of Stratos Wealth Partners, LTD, a Beachwood investment adviser managing $18.6B. Jon Pawlowski has been registered through Stratos Wealth Partners since 18 August 2021, has 17 years in the industry across 3 firms and has passed 10 licensing exams.

Role at Stratos Wealth Partners

Title on Schedule A
Director of Regulatory Compliance, Non-Member
Control
Jon Pawlowski is not a control person of Stratos Wealth Partners.
Ownership
An individual ownership band is not available in the source record.
Tenure
Jon Pawlowski has held the filed role since August 2022.

The firm

Stratos Wealth Partners, LTD
Beachwood, OH

Form ADV filed 1 October 2026

$18.6B AUM25,391 clients352 advisers26 offices

Career on record

Jon Pawlowski has been registered through Stratos Wealth Partners since August 2021.

Firms and exams, newest first
  1. Passed Series 52TO · 2023
  2. LPL Financial LLCCurrent
    – present · 5 years
    Strongsville, OH · Adviser representative and broker · Firm CRD 6413
  3. Stratos Wealth Partners, LtdCurrent
    – present · 5 years
    Beachwood, OH · Adviser representative · Firm CRD 153184
  4. Passed SIE · 2018
  5. Passed Series 53 · 2015
  6. Key Investment Services LLC
    – · 8 years
    Boulder, CO · Adviser representative · Firm CRD 136300
  7. Passed Series 66 · 2014
  8. Passed Series 24 · 2011
  9. Passed Series 4 and Series 34 · 2010
  10. Passed Series 7, Series 63 and Series 3 · 2009

Registrations and exams

Jon Pawlowski has a current investment-adviser registration in Ohio and Texas and has passed 10 qualifying exams.

Ohio18 August 2021
Scope
Investment adviser representative
Status
Approved
Texas19 August 2021
Scope
Investment adviser representative
Status
Approved, resident

Examinations

Series 669 February 2014
Name
Uniform Combined State Law Examination
Series 6310 July 2009
Name
Uniform Securities Agent State Law Examination
Series 5312 January 2015
Name
Municipal Securities Principal Examination
Series 248 April 2011
Name
General Securities Principal Examination
Series 425 February 2010
Name
Registered Options Principal Examination
Series 52TO2 January 2023
Name
Municipal Securities Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 3415 October 2010
Name
Retail Off-Exchange FOREX Examination
Series 39 November 2009
Name
National Commodity Futures Examination
Series 72 June 2009
Name
General Securities Representative Examination

Individual record

Full name
Jon Michael Pawlowski
CRD
5246392
Firm
Stratos Wealth Partners, LTD
Registration status
Investment adviser and broker registrations
Office
3750 Park East Drive, Suite 200, Beachwood, OH 44122
Firm bio
stratoswealthpartners.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Stratos lists Jon Pawlowski as co-chief compliance officer. Official firm biography

Common questions

Where does Jon Pawlowski work?

Jon Pawlowski has been Director of Regulatory Compliance, Non-Member of Stratos Wealth Partners, LTD since August 2022.

Source: Form ADV, Schedule A, filed 1 October 2026

Is Jon Pawlowski a financial advisor?

Yes. Jon Pawlowski has a current investment-adviser registration in Ohio and Texas, through Stratos Wealth Partners since August 2021, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

How many years of experience does Jon Pawlowski have?

Jon Pawlowski has worked in the financial industry for 17 years as of 18 October 2026, counted from 1 July 2009, across 3 adviser firms.

Source: IAPD individual record, checked 18 October 2026

What exams has Jon Pawlowski passed?

Jon Pawlowski has passed 10 licensing exams: the Series 7, Series 63, Series 3, Series 4, Series 34, Series 24, Series 66, Series 53, SIE and Series 52TO. The earliest, the Series 7, was passed in June 2009.

Source: IAPD individual record, checked 18 October 2026

Where is Jon Pawlowski based?

Jon Pawlowski’s registered office is in Beachwood, OH.

Source: IAPD individual record, checked 18 October 2026

Leadership at Stratos Wealth Partners

  • Jeffrey Concepcion
    Chief Executive Officer, Manager
  • Nancy Andrefsky
    Chief Financial Officer, Non-Member
  • Charis Jones
    Chief Operating Officer, Non-Member
  • Savanna Steed
    Chief Compliance Officer, Non-Member
  • David Albin
    Supervisory Principal/Non-Member
  • Marni Angus
    Office of Supervision Jurisdiction; Non-Member
  • Eric Beahn
    Director of Advisory Compensation, Non-Member
  • Douglas Burns
    Director, Non-Member
  • Megan Heaton
    Senior Supervisory Principal; Non-Member
  • Kathryn Louttit
    Chief Risk Officer
  • Ryan Thibault
    Investment Supervisory Principal/Non-Member

Sources

  1. IAPD individual record, CRD 5246392. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Stratos Wealth Partners, LTD, filed 1 October 2026. Title, control and ownership bands.
  3. Stratos Wealth Partners team page. Biography, education, credentials, awards.

Retrieved 18 October 2026. The SEC record may have been amended since.

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This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Jon Pawlowski or Stratos Wealth Partners, LTD and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.