Julia L. 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.
Julia Leigh Kozlowski, who also goes by Julie Manske Kozlowski, Julie Kozlowski, Julia Leigh Levy, Julia M Levy, Julia Manske Levy, Julie Manske Levy, Julie Levy, Julia Leigh Manske, Julie Manske, was a registered financial professional .
Julia is a previously registered financial professional and started their career in finance in 1988. Julia had worked at 7 firms and has passed the Series 63, Series 7, 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
October 5, 2010 - May 30, 2012
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
September 9, 2005 - September 22, 2010
VOYA FINANCIAL PARTNERS, LLC
November 26, 2002 - October 13, 2003
STRONG INVESTMENTS, INC.
October 3, 2001 - November 8, 2002
STRONG INVESTMENTS, INC.
June 11, 1996 - April 18, 2001
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
October 15, 1993 - February 5, 1996
VOYA FINANCIAL PARTNERS, LLC
October 15, 1992 - October 15, 1993
AELTUS CAPITAL, INC
November 17, 1988 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
February 23, 1988 - August 6, 1988
ROTAN MOSLE INC.
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
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
CRD#: 37819 / SEC#: , 8-48097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TALCOTT HOLDINGS, LP | PARENT OF APPLICANT | |
| CONNER, CHRISTOPHER SCOTT | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 2239639 |
| DAGNAULT, CHRISTOPHER JOHN | CEO, PRESIDENT AND DIRECTOR | 2311161 |
| MATTHEWS, STILA HSUANPING | AML OFFICER AND ASSISTANT SECRETARY | 5745148 |
| ROSA, ANTONIO T JR | FINOP, CFO AND TREASURER | 6963656 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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