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PK

Paul P. Kotos

FNEX CAPITAL
Indianapolis, IN 46204
Some features on this profile are disabled
CRD#: 1003836
PK

Professional summary

Paul Peter Kotos is a registered financial professional currently at FNEX CAPITAL, LLC located in Indianapolis, Indiana.

Paul is registered as a RR (Registered Representative) and started their career in finance in 1981. Paul has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Peter Kotos's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 2, 2022 - Present

FNEX CAPITAL, LLC

Office #1: One Indiana Square Suite 2252, Indianapolis, IN 46204
BD
CRD#: 166316
Indianapolis, IN
Past

November 26, 2018 - January 27, 2022

GROWTH CAPITAL SERVICES, INC.

RIA
CRD#: 124658
JACKSONVILLE, FL
Past

February 16, 2012 - January 27, 2022

GROWTH CAPITAL SERVICES, INC.

BD
CRD#: 124658
CLAYMONT, DE
Past

January 17, 2012 - February 29, 2012

L.M. KOHN & COMPANY

BD
CRD#: 27913
JACKSONVILLE, FL
Past

March 11, 2010 - January 17, 2012

MIDSOUTH CAPITAL, INC.

BD
CRD#: 35039
ATLANTA, GA
Past

April 30, 2008 - December 12, 2008

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
JACKSONVILLE, FL
Past

April 18, 2008 - May 2, 2008

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
JACKSONVILLE, FL
Past

September 24, 2003 - April 30, 2008

NORTH COAST SECURITIES CORPORATION

BD
CRD#: 35982
JACKSONVILLE, FL
Past

July 5, 2000 - February 11, 2004

FIRST ALLIED SECURITIES, INC.

RIA
CRD#: 32444
JACKSONVILLE, FL
Past

June 19, 2000 - February 11, 2004

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
SAN DIEGO, CA
Past

July 31, 1995 - November 17, 1999

FAIRCHILD FINANCIAL GROUP, INC.

BD
CRD#: 21404
NEW YORK, NY
Past

July 21, 1994 - August 30, 1995

RICKEL & ASSOCIATES, INC.

BD
CRD#: 7839
NEW YORK, NY
Past

May 16, 1988 - August 2, 1994

F.N. WOLF & CO., INC.

BD
CRD#: 13051
Past

February 2, 1987 - May 18, 1988

SHERWOOD CAPITAL, INC.

BD
CRD#: 10474
Past

October 9, 1981 - February 2, 1987

FIRST JERSEY SECURITIES, INC.

BD
CRD#: 6621

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(2/3/2022)
RR
Connecticut
(2/2/2022)
RR
Florida
(4/4/2022)
RR
Louisiana
(4/11/2022)
RR
New Jersey
(4/6/2022)
RR
New York
(2/2/2022)
RR
Texas
(2/2/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/26/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/6/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/30/1984
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FNEX CAPITAL, LLC
APPLIED CAPITAL, LLC | FNEX CAPITAL, LLC

CRD#: 166316 / SEC#: , 8-69199

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Mailing Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Phone number
(317) 580-2588
Established
Indiana since 06/04/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FNEX, LLCMEMBER
HEGER, LOREN EUGENECEO, CCO, AMLCO, EXEC. REP.6143753
TEUFEL, FREDERICK CHARLESFINOP2092408

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

FNEX CAPITAL, LLC

CRD#: 166316Indianapolis, IN 46204

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