John A. Kozak
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.
John Anthony Kozak, who also goes by John Kozak, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1992. John had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2018 - May 16, 2022
CABRERA CAPITAL MARKETS, LLC
September 28, 2017 - October 23, 2018
FIRST EMPIRE SECURITIES, INC.
October 29, 2014 - August 1, 2017
WILLIAM BLAIR
October 1, 1993 - November 6, 2014
CITIGROUP GLOBAL MARKETS INC.
July 20, 1992 - September 28, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CABRERA CAPITAL MARKETS, LLC
CRD#: 10081 / SEC#: , 8-26406
Contact information
FINRA licenses (30 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
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.
