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TK

Thomas E. Kocis

STONEX SECURITIES
S. Connellsville, PA
Some features on this profile are disabled
CRD#: 1995689
TK

Professional summary

Thomas E Kocis, who also goes by Thomas Edward Kocis, Tom Kocis, is a registered financial professional currently at STONEX SECURITIES INC. located in S. Connellsville, Pennsylvania.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1989. Thomas has worked at 11 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Edward Kocis | Tom Kocis

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) - BD

Click below to view Thomas E Kocis's CRS (Customer Relationship Summary).
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

December 6, 2019 - Present

STONEX SECURITIES INC.

BD
CRD#: 18456
S. Connellsville, PA
Past

October 24, 2018 - December 23, 2019

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

January 10, 2012 - October 25, 2018

FORESTERS EQUITY SERVICES, INC.

BD
CRD#: 18464
SAN DIEGO, CA
Past

January 4, 2008 - December 31, 2011

FORTUNE FINANCIAL SERVICES, INC.

BD
CRD#: 42150
S CONELLSVILLE, PA
Past

January 8, 2004 - December 31, 2007

FORTUNE FINANCIAL SERVICES, INC.

BD
CRD#: 42150
NEW BRIGHTON, PA
Past

January 9, 2002 - December 31, 2003

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
LYNNFIELD, MA
Past

September 14, 2000 - December 10, 2001

WORLD INVESTMENTS, LLC

BD
CRD#: 20626
LINCROFT, NJ
Past

June 1, 1996 - June 13, 1996

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

May 31, 1996 - September 13, 2000

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

June 16, 1993 - June 1, 1996

NORTH AMERICAN MANAGEMENT, INC.

BD
CRD#: 624
SIOUX FALLS, SD
Past

February 26, 1993 - June 15, 1993

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

October 11, 1989 - March 3, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

October 11, 1989 - March 3, 1993

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Pennsylvania
(12/6/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 10/23/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/9/1989
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SS
STONEX SECURITIES INC.
C G MATON FINANCIAL SERVICES , INC. | STONEX WEALTH MANAGEMENT | STONEX SECURITIES INC. | STERNE AGEE FINANCIAL SERVICES, INC. | SOUTHEAST NETWORK EQUITIES GROUP, INC. | SAL FINANCIAL SERVICES, INC. | SA STONE WEALTH MANAGEMENT INC. | INVESTECH CAPITAL CORPORATION | CAPITAL GROWTH MANAGEMENT INC.

CRD#: 18456 / SEC#: , 8-36638

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Mailing Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Phone number
(800) 292-2411
Established
Delaware since 01/22/2002
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STONEX GROUP INC.100% OWNER
BOLTE, DAVID ALBERTSECRETARY2711410
CARTER, JAY WILSONPRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR2412541
DAVISON, STUART ANDREWDIRECTOR7824576
DUNAWAY, WILLIAM JOHNDIRECTOR6505923
HUGO, MARK ERICPOO2177412
LYON, CHARLES MARTINDIRECTOR4000852
MAURER, MARK LDIRECTOR4234406
MCAUSLAN, JAMES BUCHANANDIRECTOR7658964
PARKER, BRIAN LANECHIEF COMPLIANCE OFFICER, ROSFP4635848
PORZIO, JOSEPH JOHNCFO / PFO / FINOP1319702
RICHARDSON, MARCUS BRYANTCHIEF OPERATING OFFICER3037932
SMITH, PHILIP ANDREWDIRECTOR, CHAIRMAN OF THE BOARD4999097

Disclosures

Regulatory Event9
Arbitration4

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

STONEX SECURITIES INC.

CRD#: 18456S. Connellsville, PA

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