Halil Kozi
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.
Halil Kozi, who also goes by Hal Kozi, was a registered financial professional .
Halil is a previously registered financial professional and started their career in finance in 1987. Halil had worked at 18 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2017 - September 21, 2017
WINDSOR STREET CAPITAL, LP
April 19, 2017 - May 11, 2017
BUCKMAN ADVISORY GROUP LLC
February 17, 2016 - May 11, 2017
BUCKMAN, BUCKMAN & REID, INC.
March 7, 2013 - March 2, 2016
PHX FINANCIAL, INC.
May 12, 2011 - October 31, 2011
NEWBRIDGE SECURITIES CORPORATION
October 2, 2003 - June 9, 2011
WINDSOR STREET CAPITAL, LP
January 22, 2001 - February 11, 2003
UBS FINANCIAL SERVICES INC.
February 14, 2000 - December 5, 2000
COWEN AND COMPANY
July 9, 1997 - February 13, 1998
NATIONAL CLEARING CORP.
September 3, 1996 - February 25, 1997
THE BOSTON GROUP
July 1, 1996 - August 23, 1996
THE CAMELOT GROUP, INC.
February 8, 1996 - June 6, 1996
TRADEPORTAL SECURITIES, INC.
January 29, 1996 - February 8, 1996
SMITH, BENTON & HUGHES, INC.
January 11, 1995 - February 23, 1996
H.J. MEYERS & CO., INC.
April 22, 1994 - January 3, 1995
T.R. WINSTON & COMPANY, LLC
July 30, 1993 - April 14, 1994
ROBERT TODD FINANCIAL CORP.
October 5, 1992 - July 28, 1993
BLUESTONE CAPITAL CORP.
June 6, 1989 - September 22, 1992
LEHMAN BROTHERS INC.
September 22, 1987 - April 28, 1988
FLEET BROKERAGE SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
Red Flags
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