SK
Scott A. Koziol
BARON CAPITAL
New York, NY 10153
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CRD#: 2312917
SK
Professional summary
Scott Alan Koziol, CIMA® is a registered financial professional currently at BARON CAPITAL, INC. located in New York, New York.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1993. Scott has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Scott Alan Koziol's 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®
Experience
Current
September 8, 2011 - Present
BARON CAPITAL, INC.
Office #1: 767 Fifth Avenue 49th Floor, New York, NY 10153BD
CRD#: 10538
New York, NY
Past
June 15, 2009 - August 17, 2011
CALAMOS WEALTH MANAGEMENT LLC
RIA
CRD#: 143490
NAPERVILLE, IL
Past
March 22, 2004 - August 17, 2011
CALAMOS FINANCIAL SERVICES LLC
BD
CRD#: 19850
NAPERVILLE, IL
Past
March 14, 2001 - March 8, 2004
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
Past
May 22, 2000 - January 31, 2001
DUNWOODY BROKERAGE SERVICES, INC.
BD
CRD#: 31183
ATLANTA, GA
Past
February 1, 1995 - May 17, 2000
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
Past
October 21, 1993 - February 1, 1995
KEMPER FINANCIAL SERVICES, INC.
BD
CRD#: 798
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
Alabama(12/1/2011)
RR
Alaska(2/13/2025)
RR
Arizona(8/20/2019)
RR
Arkansas(2/13/2025)
RR
California(4/10/2015)
RR
Colorado(2/13/2025)
RR
Connecticut(2/13/2025)
RR
Delaware(2/13/2025)
RR
District of Columbia(4/10/2015)
RR
Florida(12/1/2011)
RR
Georgia(12/1/2011)
RR
Hawaii(2/13/2025)
RR
Idaho(2/13/2025)
RR
Illinois(4/10/2015)
RR
Indiana(2/13/2025)
RR
Iowa(2/13/2025)
RR
Kansas(2/13/2025)
RR
Kentucky(2/13/2025)
RR
Louisiana(2/13/2025)
RR
Maine(2/13/2025)
RR
Maryland(8/20/2019)
RR
Massachusetts(4/10/2015)
RR
Michigan(2/13/2025)
RR
Minnesota(2/13/2025)
RR
Mississippi(8/14/2014)
RR
Missouri(2/13/2025)
RR
Montana(2/13/2025)
RR
Nebraska(2/13/2025)
RR
Nevada(4/10/2015)
RR
New Hampshire(2/13/2025)
RR
New Jersey(2/13/2025)
RR
New Mexico(2/13/2025)
RR
New York(9/8/2011)
RR
North Carolina(2/13/2025)
RR
North Dakota(2/13/2025)
RR
Ohio(2/18/2025)
RR
Oklahoma(2/13/2025)
RR
Oregon(2/13/2025)
RR
Pennsylvania(2/13/2025)
RR
Puerto Rico(2/13/2025)
RR
Rhode Island(2/13/2025)
RR
South Carolina(2/13/2025)
RR
South Dakota(2/13/2025)
RR
Tennessee(12/1/2011)
RR
Texas(2/13/2025)
RR
Utah(2/13/2025)
RR
Vermont(2/13/2025)
RR
Virgin Islands(2/13/2025)
RR
Virginia(2/13/2025)
RR
Washington(2/13/2025)
RR
West Virginia(2/13/2025)
RR
Wisconsin(2/13/2025)
RR
Wyoming(2/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BC
BARON CAPITAL, INC.
BARON CAPITAL, INC. | BARON CAPITAL, INC. (NY)
CRD#: 10538 / SEC#: , 8-27533
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
767 Fifth Avenue 48th Floor, New York, NY 10153
Mailing Address
767 Fifth Avenue 48th Floor, New York, NY 10153
Phone number
(212) 583-2000
Established
New York since 03/16/1982
Firm type
Corporation
Fiscal year end
February
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARON CAPITAL GROUP, INC. | SHAREHOLDER | |
| BARON, RONALD STEPHEN | DIRECTOR, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 13187 |
| BALTOVSKI, ALEXANDER | FINANCIAL & OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2350828 |
| BARON, DAVID ROBERT | DIRECTOR | 3245808 |
| BARON, MICHAEL R. | DIRECTOR | 4393612 |
| BEASLEY, LOUIS BARRETT | CHIEF COMPLIANCE OFFICER | 3156061 |
| GREENBERG, CLIFFORD | DIRECTOR AND SENIOR VICE PRESIDENT | 2292041 |
| NAGLER, ANITA MARIE | DIRECTOR | 2503631 |
| PATALINO, PATRICK MICHAEL | SVP, CHIEF OPERATING OFFICER | 4481185 |
| PECK, ANDREW JOSHUA | DIRECTOR AND SENIOR VICE PRESIDENT | 5348729 |
| ROBBINS, SUSAN JAN | DIRECTOR AND VICE PRESIDENT | 840688 |
| TREGLIA, KRISTINE F | VP, CHIEF LEGAL OFFICER | 6384500 |
Disclosures
| Regulatory Event | 8 |
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.
