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SK

Scott C. Kodak

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CRD#: 2478179
SK

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.

Scott C. Kodak, who also goes by Scott C Kodak, Scott Christian Kodak, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1997. Scott had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Scott C Kodak | Scott Christian Kodak

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.
1) BET YER BOOTS LLC, INVESTMENT-RELATED. 3355 BEE CAVE ROAD, SUITE 609, AUSTIN, TX 78746. REAL ESTATE INVESTMENT PROPERTIES. I AM PRESIDENT (MANAGER & MEMBER). START FEBRUARY 1, 2006 (INCEPTION DATE). 5 HOURS DEVOTED TO BUSINESS/MONTH ON WEEKENDS. DUTIES: IDENTIFY & ANALYZE REAL ESTATE INVESTMENTS. 2)Kodak Brothers Capital Management, LLC, Investment-Related, 3355 Bee Cave Road, Suite 608, Austin TX, 78746, Managing Member and Portfolio Manager for private pooled investment funds. May 2013 Start Date. Exempt reporting adviser firm which serves as investment adviser to privately offered investment funds. 3) BYB, INC, INVESTMENT RELATED, 3355 BEE CAVE ROAD, SUITE 609, AUSTIN, TX 78746. REAL ESTATE CONSULTING AND MANAGEMENT. I AM PRESIDENT (OFFICER & SHAREHOLDER). START JANUARY 31, 2011 (INCEPTION DATE). 5 HOURS DEVOTED TO BUSINESS/QUARTER ON WEEKENDS. DUTIES: IDENTIFY, ANALYZE & MANAGE REAL ESTATE INVESTMENTS. 4) Amabon, INC, Investment Related, 3355 Bee Cave Road, Suite 609, Austin, TX 78746. Storage solution rights in Central TX. I am President (Officer & Shareholder). Start June 16, 2011 (Inception Date). 5 hours devoted to business per year on weekends. Duties: organize and prepare the entity for its tax filing obligations. 5) 20/20-Acquisitions, LLC, Investment Related, 3355 Bee Cave Road, Suite 609, Austin, TX 78746. Real Estate Investment Property. I am President (Manager & Member). Start November 20, 2012 (Inception Date). 5 hours devoted to business per quarter on weekends. Duties: identify and analyze real estate investments. 6) Woods I At Great Oaks, LLC & SKBO, LLC, Investment Related, 3355 Bee Cave Road, Suite 609, Austin, TX 78746. Real Estate Investment Property. I am Manager & Member. Start March 21, 2013 (Inception Date). 5 hours devoted to business per year on weekends. Duties: organize and prepare the entity for its tax filing obligations.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 29, 2007 - December 31, 2008

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
AUSTIN, TX
Past

May 25, 2007 - December 31, 2024

JWKODAK CAPITAL MANAGEMENT, LLC

RIA
CRD#: 144081
AUSTIN, TX
Past

February 27, 2003 - June 11, 2007

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
AUSTIN, TX
Past

February 26, 2003 - June 11, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
AUSTIN, TX
Past

January 23, 1997 - February 27, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/22/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/30/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/1997
General Securities Representative Examination

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

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

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# 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#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

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