Kevin S. Osowiecki
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.
Kevin Steven Osowiecki, who also goes by Kevin Steven Oswiecki, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1993. Kevin had worked at 7 firms and has passed the Series 63, Series 55, Series 25, Series 7, Series 14, Series 4, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2012 - May 31, 2012
WORLD-XECUTION STRATEGIES
November 7, 2005 - March 12, 2010
TD PRIME SERVICES LLC
March 5, 2003 - September 30, 2003
TD PRIME SERVICES LLC
January 16, 2003 - March 12, 2010
DERMOTT W. CLANCY CORP.
July 19, 1995 - December 31, 2002
CITIGROUP GLOBAL MARKETS INC.
April 26, 1995 - July 10, 1995
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
November 15, 1993 - January 24, 1994
GRAYSON FINANCIAL LLC
March 16, 1993 - March 21, 1995
ADLER COLEMAN & CO., INC.
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
Series 55
Date: 10/10/2007
Limited Representative-Equity Trader ExamSeries 25
Date: 6/26/2003
NYSE Trading Assistant ExaminationSeries 8
Date: 6/1/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WORLD-XECUTION STRATEGIES
CRD#: 134645 / SEC#: , 8-66854
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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