Robert O. Kozak
Professional summary
Robert Otto Kozak was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Robert had worked at 8 firms, which includes SUMMIT BROKERAGE SERVICES INC., BERTHEL FISHER & COMPANY FINANCIAL SERVICES INC., GUNNALLEN FINANCIAL INC, NATIONAL SECURITIES CORPORATION, DONALD & CO. SECURITIES INC., GKN SECURITIES CORP., MORGAN TAYLOR & ASSOCIATES INC., WALSH MANNING SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2004 - May 19, 2004
SUMMIT BROKERAGE SERVICES, INC.
February 6, 2003 - December 19, 2003
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
August 16, 2002 - January 13, 2003
GUNNALLEN FINANCIAL, INC
September 19, 2001 - September 3, 2002
NATIONAL SECURITIES CORPORATION
April 15, 1999 - October 9, 2001
DONALD & CO. SECURITIES INC.
July 17, 1998 - March 15, 1999
GKN SECURITIES CORP.
August 29, 1997 - July 8, 1998
MORGAN, TAYLOR & ASSOCIATES, INC.
March 19, 1997 - May 27, 1997
WALSH MANNING SECURITIES, LLC
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
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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