Gregory A. Cozine
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.
Gregory Alan Cozine, who also goes by Greg Allen Cozine, Greg Cozine, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1987. Gregory had worked at 3 firms and has passed the Series 63, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 1991 - July 2, 1992
WS CLEARING, INC.
May 2, 1988 - January 24, 1989
WENTWORTH SECURITIES, INC.
April 7, 1987 - May 18, 1988
ROCKWELL FINANCIAL, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
WS CLEARING, INC.
CRD#: 28537 / SEC#: , 8-43807
Contact information
Documents
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.
