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EK

Edwin M. Koziol

Some features on this profile are disabled
CRD#: 1509641
EK

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.

Edwin Martin Koziol was a registered financial professional .

Edwin is a previously registered financial professional and started their career in finance in 1986. Edwin had worked at 11 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

May 6, 2002 - November 4, 2003

CUMBERLAND BROKERAGE CORPORATION

BD
CRD#: 13409
ARDMORE, PA
Past

August 12, 1997 - November 7, 1997

CAPITAL SECURITIES INVESTMENT CORPORATION

BD
CRD#: 5606
OAK BROOK, IL
Past

April 10, 1995 - June 12, 1995

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

September 17, 1990 - March 5, 1992

FUNDMARK INVESTMENT COMPANY SERVICES, INC.

BD
CRD#: 13066
Past

August 28, 1990 - March 3, 1995

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
NORTHRIDGE, CA
Past

May 16, 1990 - September 17, 1990

BARNETT INVESTMENTS, INC.

BD
CRD#: 14897
JACKSONVILLE, FL
Past

September 25, 1987 - March 13, 1990

EMPIRE NATIONAL SECURITIES, INCORPORATED

BD
CRD#: 7361
Past

June 23, 1987 - October 5, 1987

PFS INVESTMENTS INC.

BD
CRD#: 10111
Past

April 22, 1987 - July 9, 1987

INVESTACORP, INC.

BD
CRD#: 7684
Past

June 13, 1986 - May 1, 1987

G. ERWIN SECURITIES CORP.

BD
CRD#: 17593
Past

May 21, 1986 - June 27, 1986

TOWNSLEY ASSOCIATES & COMPANY, INC.

BD
CRD#: 14211

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
RR
Series 63
Date: 5/23/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/2/2002
General Securities Representative Examination

Current Firm

CB
CUMBERLAND BROKERAGE CORPORATION
CUMBERLAND ADVISORS, PTY | CUMBERLAND BROKERAGE CORPORATION

CRD#: 13409 / SEC#: , 8-42993

BD
Terminated by SEC on 08/29/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 06/20/1990
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SCHARF, GLENN PHILIPPRESIDENT, CHIEF COMPLIANCE OFFICER
BRUCE, ELLYN HOPEEXECUTIVE VICE PRESIDENT1036299
CALCATERRA, TIMEXECUTIVE VICE PRESIDENT4020937

Disclosures

Regulatory Event3

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

CUMBERLAND BROKERAGE CORPORATION

CRD#: 13409

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