Kevin J. Koziol
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.
Kevin J Koziol, who also goes by Kevin James Koziol, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2001. Kevin had worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2016 - June 29, 2016
GERSTEIN FISHER
January 7, 2016 - June 29, 2016
GFA SECURITIES, LLC
October 24, 2013 - July 2, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
October 4, 2013 - July 2, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
February 8, 2012 - January 24, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 2010 - January 24, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 12, 2009 - July 7, 2010
TD AMERITRADE, INC.
March 12, 2009 - July 7, 2010
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 12, 2009 - July 7, 2010
TD AMERITRADE, INC.
December 11, 2006 - July 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 14, 2006 - July 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 13, 2005 - December 15, 2005
LPL FINANCIAL LLC
August 10, 2004 - August 19, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 23, 2003 - October 7, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 29, 2001 - December 17, 2001
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
GERSTEIN FISHER
CRD#: 118551 / SEC#: 801-60870
Contact information
Red Flags
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