Raymond E. Koza
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.
Raymond Eddie Koza was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1995. Raymond had worked at 7 firms and has passed the Series 63 and Series 7 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, 1999 - October 8, 2001
J.P. TURNER & COMPANY, L.L.C.
May 26, 1999 - November 19, 1999
SUNPOINT SECURITIES, INC.
February 19, 1998 - June 15, 1999
BRIARWOOD INVESTMENT COUNSEL
September 9, 1996 - February 1, 1998
NICHOLS, SAFINA, LERNER & CO. INC.
October 31, 1995 - January 10, 1997
STATE CAPITAL MARKETS CORPORATION
September 14, 1995 - October 2, 1995
THE BOSTON GROUP
August 23, 1995 - October 3, 1995
A. R. BARON & 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
Current Firm
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
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.
