George R. Kowski
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.
George Ralph Kowski was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1968. George had worked at 9 firms and has passed the Series 55, PC, Series 1 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
May 11, 1998 - January 9, 2008
RODMAN & RENSHAW, LLC
March 28, 1995 - March 17, 1998
RODMAN & RENSHAW INC.
February 22, 1995 - March 31, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
September 4, 1979 - January 10, 1995
LEHMAN BROTHERS INC.
January 18, 1978 - August 6, 1979
LOEB PARTNERS
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
August 23, 1973 - January 4, 1977
LOEB, RHOADES & CO. INC.
April 17, 1973 - July 18, 1973
DUPONT GLORE FORGAN INC
October 4, 1968 - June 7, 1973
BLYTH EASTMAN DILLON & CO. INCORPORATED
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: 7/22/1999
Limited Representative-Equity Trader ExamPC
Date: 6/1/1977
AMEX Put and Call ExamSeries 1
Date: 9/26/1968
Registered Representative ExaminationCurrent Firm
RODMAN & RENSHAW, LLC
CRD#: 16415 / SEC#: , 8-33862
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
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.
