Duane E. Koslowski
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.
Duane Edward Koslowski was a registered financial professional .
Duane is a previously registered financial professional and started their career in finance in 1985. Duane had worked at 15 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2013 - January 2, 2014
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 19, 2008 - August 6, 2011
ALLSTATE FINANCIAL SERVICES, LLC
August 23, 2007 - February 26, 2008
NYLIFE SECURITIES LLC
January 6, 2005 - May 15, 2006
PACIFIC SELECT DISTRIBUTORS, LLC
May 25, 2004 - December 31, 2004
MUTUAL SERVICE CORPORATION
August 13, 2003 - May 14, 2004
SIGNATOR INVESTORS, INC.
February 27, 2003 - April 1, 2003
SLD AMERICA EQUITIES, INC.
December 13, 2001 - December 31, 2002
CETERA ADVISORS LLC
October 15, 2001 - December 31, 2001
SLD AMERICA EQUITIES, INC.
December 31, 2000 - July 18, 2001
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 23, 1999 - December 31, 2000
OSAIC FA, INC.
March 31, 1997 - March 16, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 9, 1993 - January 7, 1997
DAIN RAUSCHER INCORPORATED
March 3, 1987 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
March 3, 1987 - May 28, 1993
MML INVESTORS SERVICES, LLC
October 7, 1985 - March 3, 1987
AETNA LIFE INSURANCE AND ANNUITY COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NATIONWIDE INVESTMENT SERVICES CORPORATION
CRD#: 7110 / SEC#: , 8-20254
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONWIDE LIFE INSURANCE COMPANY | SHAREHOLDER | |
| AMBROZY, TINA S | PRESIDENT/BOARD DIRECTOR | 3149224 |
| HAWLEY, CRAIG ALAN | BOARD DIRECTOR | 4499105 |
| RABENSTINE, JAMES JAY | CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD DIRECTOR | 5250338 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
