Kevin W. Cozzie
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.
Kevin William Cozzie was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1997. Kevin had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2013 - August 30, 2013
MEB OPTIONS, LLC
July 3, 2012 - February 28, 2013
RQD* CLEARING, LLC
May 2, 2011 - July 2, 2012
GAR WOOD SECURITIES, LLC
January 25, 2011 - April 4, 2011
CCM EQUITIES, LLC
August 11, 1997 - January 11, 2010
ABN AMRO CLEARING USA LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MEB OPTIONS, LLC
CRD#: 113332 / SEC#: , 8-53315
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
