Radoslaw Z. Kozlowski
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.
Radoslaw Zenon Kozlowski, who also goes by Radek Kozlowski, Radowslaw Zenon Kozlowski, was a registered financial professional .
Radoslaw is a previously registered financial professional and started their career in finance in 2003. Radoslaw had worked at 9 firms and has passed the Series 66, SIE, Series 87, Series 86, Series 31, Series 7 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
August 15, 2016 - August 18, 2018
CPIBD LLC
September 24, 2014 - September 29, 2015
B. RILEY SECURITIES, INC.
April 3, 2014 - September 5, 2014
ROC GLOBAL LLC
May 17, 2010 - April 13, 2012
OPPENHEIMER & CO. INC.
February 29, 2008 - December 18, 2009
RBC CAPITAL MARKETS, LLC
March 13, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
March 2, 2006 - March 6, 2007
NEEDHAM & COMPANY, LLC
May 16, 2005 - February 24, 2006
JANNEY MONTGOMERY SCOTT LLC
May 16, 2005 - February 24, 2006
JANNEY MONTGOMERY SCOTT LLC
July 30, 2003 - May 10, 2005
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CPIBD LLC
CRD#: 46049 / SEC#: , 8-51301
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMPASS PARTNERS ADVISORS, LLP | DIRECT OWNER | |
| CHAPIN, ALLAN MELVILLE | PRESIDENT/CO-CHIEF COMPLIANCE OFFICER | 4142918 |
Disclosures
| Regulatory Event | 5 |
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.
