Michael S. Kozlow
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.
Michael Spence Kozlow was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1972. Michael had worked at 5 firms and has passed the Series 65, Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2005 - September 25, 2014
SHADOW WOOD ADVISORS PLC
September 4, 1990 - August 7, 2001
WELLS FARGO CLEARING SERVICES, LLC
January 31, 1990 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
January 31, 1989 - February 15, 1990
PRUDENTIAL EQUITY GROUP, LLC
April 4, 1978 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
September 1, 1972 - April 4, 1978
LOEWI & CO., INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 8/12/1977
AMEX Put and Call ExamSeries 1
Date: 8/18/1972
Registered Representative ExaminationCurrent Firm
SHADOW WOOD ADVISORS PLC
CRD#: 134326 / SEC#:
Contact information
Red Flags
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