Amy K. Bautista

KOSMOS MANAGEMENT LLC

Seattle, WA 98101-4054

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CRD#: 4701787

Professional summary

Amy Kosmos Bautista, who also goes by Amy Christine Kosmos, is a registered financial advisor currently at KOSMOS MANAGEMENT LLC located in Seattle, Washington.

Amy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Amy has worked at 6 firms and has passed the Series 66, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Amy Christine Kosmos

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)DBA:WILL WORK UNDER CSM PACIFIC, INSURANCE BROKERAGE, VP, STARTED 2008. 3)OWNER OF RENTAL PROPERTY 259 MARLBOROUGH ST #2 BOSTON MA 02116, STARTED 2008.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Kosmos Bautista's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 30, 2012 - Present

KOSMOS MANAGEMENT LLC

Office #1: 601 Union Street Suite 3900, Seattle, WA 98101-4054

RIA

CRD#: 164712

Seattle, WA

Past

November 25, 2010 - November 30, 2011

SIGNATOR FINANCIAL SERVICES, INC.

RIA

CRD#: 19061

SEATTLE, WA

Past

September 17, 2010 - November 30, 2011

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

SEATTLE, WA

Past

September 1, 2009 - October 13, 2010

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

SEATTLE, WA

Past

September 10, 2008 - September 10, 2009

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

SEATTLE, WA

Past

April 24, 2006 - November 15, 2006

MOORS & CABOT, INC.

CRD#: 594

BOSTON, MA

Past

December 17, 2003 - March 24, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KOSMOS MANAGEMENT LLC

CRD#: 164712 / SEC#: 801-77216

RIA

Registered Investment Advisory firm - (10/5/2012 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Washington
(11/30/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/24/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/16/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/22/2006

General Securities Principal Examination

Current Firm

KOSMOS MANAGEMENT LLC

CRD#: 164712 / SEC#: 801-77216

RIA

Registered Investment Advisory firm - (10/5/2012 Approved)

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Contact information

Main Address

601 Union Street Suite 3900, Seattle, WA 98101-4054

Mailing Address

Phone number

(206) 624-8111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

KOSMOS MANAGEMENT LLC (3/31/2025)

Regulatory assets under management

Total Number of Accounts	15
AUM (Assets Under Management)	$ 1,608,036,849

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.

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Advisor Monitoring

Firm Stability Insights

Amy K. Bautista

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Kosmos Bautista's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIGNATOR FINANCIAL SERVICES, INC.

SIGNATOR FINANCIAL SERVICES, INC.

GENEOS WEALTH MANAGEMENT, INC.

WOODBURY FINANCIAL SERVICES, INC.

MOORS & CABOT, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

KOSMOS MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/24/2010

Series 7

Date: 12/16/2003

Series 24

Date: 7/22/2006

Current Firm

KOSMOS MANAGEMENT LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KOSMOS MANAGEMENT LLC

TRUST BUT VERIFY

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