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TK

Thomas V. Kozlowski

Some features on this profile are disabled
CRD#: 1842334
TK

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.

Thomas Victor Kozlowski, who also goes by Thomas V Kozlowski, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 9 firms and has passed the Series 63 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas V Kozlowski

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 22, 2002 - June 4, 2003

HUNTINGDON SECURITIES CORPORATION

BD
CRD#: 16497
MINOT, ND
Past

February 10, 2000 - February 14, 2002

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
OVERLAND PARK, KS
Past

March 28, 1998 - February 15, 2000

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
CEDAR RAPIDS, IA
Past

September 19, 1997 - March 28, 1998

ADM SECURITIES, INC.

BD
CRD#: 31973
CHICAGO, IL
Past

September 10, 1997 - September 15, 1997

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL
Past

May 17, 1997 - August 8, 1997

AMERICAN INVESTMENT SERVICES, INC.

BD
CRD#: 21111
OKLAHOMA CITY, OK
Past

October 9, 1995 - May 17, 1997

VARIABLE ASSET STRATEGIES, INC.

BD
CRD#: 37027
GREENWOOD VILLAGE, CO
Past

September 29, 1993 - March 23, 1995

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

March 6, 1989 - October 12, 1993

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/3/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 3/3/1989
Investment Company Products/Variable Contracts Representative Examination

Current Firm

HS
HUNTINGDON SECURITIES CORPORATION
HASTINGS SECURITIES, INC. | HUNTINGDON SECURITIES, CORPORATION | HUNTINGDON SECURITIES CORPORATION | HUNTINGDON (HSC) FINANCIAL SERVICES

CRD#: 16497 / SEC#: , 8-34058

BD
Terminated by SEC on 10/30/2004
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Contact information

Main Address
Mailing Address
Phone number
Established
Tennessee since 04/02/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DOMRES, ROGER WILLIAMPRESIDENT/CEO/DIRECTOR/OPS PRIN/GEN SEC PRIN2190341

Disclosures

Regulatory Event2

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

HUNTINGDON SECURITIES CORPORATION

CRD#: 16497

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