Raymond L. Kotrozo
Professional summary
Raymond Lawrence Kotrozo was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Raymond is a previously registered financial professional and started their career in finance in 1972. Prior to being barred, Raymond had worked at 10 firms, which includes RL KOTROZO INC., PLENGE THOMAS & GUNNING SECURITIES INC., RAUSCHER PIERCE REFSNES INC., BLYTH EASTMAN DILLON & CO. INCORPORATED, BACHE HALSEY STUART INC., BACHE & CO INCORPORATED, BACHE & CO. INCORPORATED, TOWER SQUARE SECURITIES INC., ENTERPRISE FUND DISTRIBUTORS INC., C.S. MCKEE.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 1983 - March 14, 1990
RL KOTROZO, INC.
January 19, 1982 - January 17, 1984
PLENGE, THOMAS & GUNNING SECURITIES, INC.
November 7, 1979 - November 7, 1981
RAUSCHER PIERCE REFSNES, INC.
March 23, 1977 - November 26, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
August 27, 1976 - May 29, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
March 24, 1975 - February 27, 1976
BACHE & CO., INCORPORATED
July 12, 1974 - March 12, 1975
TOWER SQUARE SECURITIES, INC.
March 28, 1974 - July 12, 1974
ENTERPRISE FUND DISTRIBUTORS, INC.
June 28, 1972 - March 13, 1974
C.S. MCKEE
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 6/19/1972
Registered Representative ExaminationCurrent Firm
RL KOTROZO, INC.
CRD#: 12968 / SEC#: , 8-28591
Contact information
Documents
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