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JK

Joan R. Kotowicz

TTBD
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 1239979
JK

Professional summary

Joan Rose Kotowicz, who also goes by Joan Rose George, Joan Rose Kotowicz Mrs., is a registered financial professional currently at TTBD, LLC located in New York, New York.

Joan is registered as a RR (Registered Representative) and started their career in finance in 2012. Joan has worked at 3 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joan Rose George | Joan Rose Kotowicz Mrs.

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 Joan Rose Kotowicz's 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

January 15, 2025 - Present

TTBD, LLC

Office #1: 850 Third Avenue 15th Floor, New York, NY, 10022
BD
CRD#: 327863
NEW YORK, NY
Past

August 24, 2021 - September 1, 2023

ANOS CAPITAL, LLC

BD
CRD#: 284714
NEW YORK, NY
Past

October 12, 2012 - August 24, 2021

TRADE INFORMATICS LLC

BD
CRD#: 143867
NEW YORK, NY

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 10/11/2012
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

TL
TTBD, LLC
TTBD, LLC

CRD#: 327863 / SEC#: , 8-71139

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

Main Address
850 Third Avenue 15th Floor, New York, NY, 10022
Mailing Address
850 Third Avenue 15th Floor, New York, NY, 10022
Phone number
(646) 432-4000
Established
Illinois since 11/20/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TT SECURITIES GROUP, LLCOWNER
CERNY, PATRICIA LCHIEF COMPLIANCE OFFICER4814964
SLOAN NOWAK, JACQUELINE LEEFINANCIAL AND OPERATION PRINCIPAL2717305
WEILER, PETER LAWRENCECHIEF EXECUTIVE OFFICER1634937

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

TTBD, LLC

CRD#: 327863New York, NY 10022

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