Stanley G. Koss
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.
Stanley Gerard Koss, who also goes by Stan Koss, Stanley Koss, Stanley G Koss, was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1995. Stanley had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2020 - January 29, 2025
FINALIS SECURITIES LLC
October 5, 2017 - August 3, 2020
BRIDGE CAPITAL ASSOCIATES, INC.
April 14, 2016 - May 31, 2017
FOCALPOINT SECURITIES, LLC
January 30, 2013 - September 30, 2015
LOOP CAPITAL MARKETS LLC
October 25, 2002 - June 16, 2003
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 27, 1999 - November 8, 2001
J.P. MORGAN SECURITIES LLC
November 3, 1997 - July 28, 1999
CIBC WORLD MARKETS CORP.
June 23, 1997 - November 3, 1997
CIBC WOOD GUNDY SECURITIES CORP.
August 2, 1995 - April 23, 1997
DB ALEX. BROWN LLC
February 9, 1995 - July 18, 1995
THE CHICAGO CORPORATION
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
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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