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RK

Richard A. Kos

SURSUM FINANCIAL LLC
Madison, CT
Some features on this profile are disabled
CRD#: 1805476
RK

Professional summary

Richard Alan Kos is a registered financial advisor currently at SURSUM FINANCIAL LLC located in Madison, Connecticut.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Richard has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
PRESIDENT, KOS CONSULTANTS, EDUCATIONAL INSTITUTIONAL CONSULTING AND MARKETING SERVICES. 20hrs per week. Non Securities related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Alan Kos's CRS (Customer Relationship Summary).

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

Current

February 14, 2022 - Present

SURSUM FINANCIAL LLC

RIA
CRD#: 317529
Madison, CT
Past

July 16, 2013 - January 5, 2015

LEGEND SECURITIES, INC.

BD
CRD#: 44952
NEW YORK, NY
Past

November 3, 2009 - April 29, 2011

JVB FINANCIAL GROUP, LLC

BD
CRD#: 104412
NEW YORK, NY
Past

April 8, 2008 - July 14, 2009

SUMMIT SECURITIES GROUP LLC

BD
CRD#: 143727
NEW YORK, NY
Past

July 26, 2007 - November 27, 2007

CAROLINA CAPITAL MARKETS, INC.

RIA
CRD#: 38156
MADISON, CT
Past

July 3, 2007 - November 27, 2007

CAROLINA CAPITAL MARKETS, INC.

BD
CRD#: 38156
CHAPEL HILL, NC
Past

April 6, 2006 - July 3, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW HAVEN, CT
Past

March 29, 2006 - July 3, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW HAVEN, CT
Past

March 28, 2002 - April 8, 2004

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

August 10, 2000 - February 11, 2002

CHAPDELAINE CORPORATE SECURITIES & CO

BD
CRD#: 23741
NEW YORK, NY
Past

October 1, 1997 - August 4, 2000

RESEARCH CONVERSION CORP.

BD
CRD#: 41359
NEW YORK, NY
Past

September 18, 1997 - August 4, 2000

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

June 20, 1994 - September 16, 1997

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

August 25, 1988 - May 23, 1994

RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC

BD
CRD#: 329
SEATTLE, WA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Connecticut
(2/14/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/5/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/6/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/5/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 8/3/1995
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/11/1995
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/18/1989
General Securities Principal Examination

Current Firm

SF
SURSUM FINANCIAL LLC
SURSUM FINANCIAL LLC | SURSUM FINANCIAL LLC

CRD#: 317529 / SEC#:

Connecticut
Registered Investment Advisory firm - (2/14/2022 Approved)
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Contact information

Main Address
Madison, CT
Mailing Address
1000 Boston Post Road #1004, Old Saybrook, CT 06475
Phone number
(203) 640-4628
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts16
AUM (Assets Under Management)$ 2,367,958

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

SURSUM FINANCIAL LLC

CRD#: 317529Madison, CT

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