John Kozey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Kozey, who also goes by III John Kozey, John Kozey III, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 8 firms and has passed the Series 63, Series 82TO, SIE, Series 55, Series 16, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2022 - December 22, 2022
AVALON SECURITIES, LTD.
May 16, 2003 - September 28, 2004
THOMSON INSTITUTIONAL SERVICES INC.
September 6, 2002 - December 19, 2002
A.B. WATLEY, INC.
August 7, 2001 - January 25, 2002
CROWN FINANCIAL GROUP, INC.
February 15, 1995 - May 6, 1997
BRIDGE TRADING COMPANY
September 28, 1994 - November 28, 1994
ALLEN & COMPANY LLC
April 20, 1987 - June 1, 1994
BRIDGE TRADING COMPANY
February 19, 1985 - November 27, 1985
CIBC WORLD MARKETS CORP.
September 25, 1981 - January 31, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 82TO
Date: 1/14/2022
Limited Representative-Private Securities OfferingsSeries 55
Date: 8/16/2001
Limited Representative-Equity Trader ExamSeries 5
Date: 1/26/1982
Interest Rate Options ExaminationCurrent Firm
AVALON SECURITIES, LTD.
CRD#: 30522 / SEC#: , 8-44993
Contact information
Documents
Red Flags
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