Lynn C. Koczera

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CRD#: 1065105

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.

Lynn Colton Koczera, who also goes by Lynn Ellen Colton, Lynn Ellen Koczera, was a registered financial professional .

Lynn is a previously registered financial professional and started their career in finance in 1982. Lynn had worked at 13 firms and has passed the Series 63, SIE, Series 27, Series 4, Series 24 and Series 12 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lynn Ellen Colton | Lynn Ellen Koczera

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 24, 2017 - December 31, 2018

WM SMITH & CO.

CRD#: 30777

GREENWOOD VILLAGE, CO

Past

January 12, 2016 - May 24, 2016

MARATHON FINANCIAL GROUP LLC

CRD#: 41181

CHICAGO, IL

Past

April 2, 2015 - July 26, 2016

MDS SECURITIES, LLC

CRD#: 159555

Glendale, CO

Past

March 6, 2014 - January 26, 2015

KROLL SECURITIES LLC

CRD#: 36927

CHICAGO, IL

Past

January 3, 2012 - December 3, 2015

BRITEHORN SECURITIES

CRD#: 36402

DENVER, CO

Past

May 24, 2011 - January 9, 2012

TEXAS E&P PARTNERS, INC.

CRD#: 127228

DENVER, CO

Past

December 8, 2008 - July 17, 2009

WALL AND COMPANY SECURITIES, INC.

CRD#: 40894

FRISCO, TX

Past

February 1, 2008 - December 31, 2010

EVOLVE SECURITIES, INC.

CRD#: 127474

GOLDEN, CO

Past

October 12, 2007 - February 8, 2012

BLUE MOON FINANCIAL, LLC

CRD#: 123224

DENVER, CO

Past

March 20, 2006 - June 19, 2006

IBC INVESTMENTS

CRD#: 40286

OKLAHOMA CITY, OK

Past

August 22, 1994 - May 19, 2008

AFS BROKERAGE, INC.

CRD#: 25924

GOLDEN, CO

Past

April 17, 1990 - November 2, 1993

AFS BROKERAGE, INC.

CRD#: 25924

AUSTIN, TX

Past

August 28, 1986 - November 28, 1989

BANCBOSTON BROKERAGE INC.

CRD#: 17473

Past

August 31, 1982 - August 10, 1984

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 11/7/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 27

Date: 6/21/1986

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/2/1984

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/12/1983

General Securities Principal Examination

Principal/Supervisory Exam

Series 12

Date: 12/18/1982

NYSE Branch Manager Examination

Current Firm

WM SMITH & CO.

WM SMITH & CO. | WM SMITH SECURITIES INCORPORATED

CRD#: 30777 / SEC#: , 8-45163

Terminated by SEC on 01/29/2019

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Contact information

Main Address

Mailing Address

Phone number

Established

Colorado since 08/25/1992

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
SMITH, WILLIAM SPENCER	PRESIDENT	823278
SMITH, JENA	OWNER, CEO	5402931
KOCZERA, LYNN COLTON	CCO, CFO	1065105

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Lynn C. Koczera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MARATHON FINANCIAL GROUP LLC

MDS SECURITIES, LLC

KROLL SECURITIES LLC

BRITEHORN SECURITIES

TEXAS E&P PARTNERS, INC.

WALL AND COMPANY SECURITIES, INC.

EVOLVE SECURITIES, INC.

BLUE MOON FINANCIAL, LLC

IBC INVESTMENTS

AFS BROKERAGE, INC.

AFS BROKERAGE, INC.

BANCBOSTON BROKERAGE INC.

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/7/1984

SIE

Date: 10/1/2018

Series 27

Date: 6/21/1986

Series 4

Date: 3/2/1984

Series 24

Date: 10/12/1983

Series 12

Date: 12/18/1982

Current Firm

WM SMITH & CO.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

WM SMITH & CO.

TRUST BUT VERIFY

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