Robert J. Kozlowski
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.
Robert James Kozlowski, who also goes by Rob Kozlowski, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2021 - June 7, 2022
THE LEADERS GROUP, INC.
December 1, 2006 - March 18, 2019
QUESTAR CAPITAL CORPORATION
April 23, 2004 - December 1, 2006
USALLIANZ SECURITIES, INC.
December 12, 2002 - October 16, 2003
VP DISTRIBUTORS LLC
August 30, 1993 - April 22, 2004
WS GRIFFITH SECURITIES, INC.
February 12, 1987 - August 30, 1993
VP DISTRIBUTORS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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