Stephen C. Kosoris
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.
Stephen Christopher Kosoris, CFA, who also goes by Steve Kosoris, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2007. Stephen had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2022 - January 21, 2025
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
March 13, 2012 - September 21, 2022
DIMENSIONAL FUND ADVISORS LP
February 24, 2012 - September 21, 2022
DFA SECURITIES LLC
June 4, 2007 - December 31, 2010
K4 CAPITAL MANAGEMENT LLC
Primary Firm SEC Registration
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
CRD#: 329 / SEC#: 801-60335, 8-220
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
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
CRD#: 329 / SEC#: 801-60335, 8-220
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (9 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUSSELL INVESTMENTS US INSTITUTIONAL HOLDCO, INC. | OWNER | |
| ALVAREZ, CARLOS CID | US BROKER-DEALER CHIEF COMPLIANCE OFFICER | 5689384 |
| CURRAN, AMY ELIZABETH | US ADVISER CHIEF COMPLIANCE OFFICER | 4876594 |
| EL-HILLOW, KATHERINE ANNE | DIRECTOR; PRESIDENT; CHIEF INVESTMENT OFFICER | 4889284 |
| LENZO, JASON ABRAM | DIRECTOR | 2972909 |
| OSTROVSKY, AARON ALEXANDER | DIRECTOR | 7851945 |
| PALTROWITZ, MARK DAVID | CHIEF RISK OFFICER | 2787627 |
| SIEGEL, DAVID ANDREW | FINANCIAL AND OPERATIONS PRINCIPAL | 7440274 |
| SURLOFF, HOWARD BRIAN | CHIEF LEGAL OFFICER | 7525747 |
Regulatory assets under management
| Total Number of Accounts | 152 |
| AUM (Assets Under Management) | $ 79,682,796,997 |
Disclosures
| Regulatory Event | 3 |
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.
