David W. Kraft

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CRD#: 4781108

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.

David Warren Kraft was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2004. David had worked at 5 firms and has passed the Series 65, Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) BEGINNING 1-2014 CFO OF KOSMOS INSURANCE SERVICES AT 601 UNION ST SEATTLE, WA; FIRM IS A NON-INVESTMENT RELATED INSURANCE BROKER 2)KRAFT/POSY IRREVOCABLE TRUST OF 2009, TRUSTEE

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 5, 2012 - April 4, 2024

KOSMOS MANAGEMENT LLC

RIA

CRD#: 164712

SEATTLE, WA

Past

September 17, 2010 - September 30, 2011

SIGNATOR FINANCIAL SERVICES, INC.

RIA

CRD#: 19061

SEATTLE, WA

Past

September 17, 2010 - September 30, 2011

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

SEATTLE, WA

Past

September 1, 2009 - October 13, 2010

GENEOS WEALTH MANAGEMENT, INC.

RIA

CRD#: 120894

SEATTLE, WA

Past

September 1, 2009 - October 13, 2010

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

SEATTLE, WA

Past

April 2, 2008 - September 10, 2009

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

SEATTLE, WA

Past

January 3, 2005 - September 10, 2009

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

SEATTLE, WA

Past

April 15, 2004 - January 6, 2005

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

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.

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 2/27/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/10/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/15/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/14/2004

General Securities Representative 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

David W. Kraft

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SIGNATOR FINANCIAL SERVICES, INC.

SIGNATOR FINANCIAL SERVICES, INC.

GENEOS WEALTH MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

WALNUT STREET SECURITIES, INC.

Primary Firm SEC Registration

KOSMOS MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/27/2008

Series 66

Date: 9/10/2004

Series 63

Date: 4/15/2004

Series 7

Date: 4/14/2004

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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