Stuart G. Cozzens
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.
Stuart Guy Cozzens was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1970. Stuart had worked at 8 firms and has passed the Series 63, SIE, PC, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2017 - December 24, 2020
MD GLOBAL PARTNERS, LLC
September 12, 2014 - December 20, 2016
COLUMBUS ADVISORY GROUP, LTD.
July 22, 2014 - September 4, 2014
AEGIS CAPITAL CORP.
June 24, 2009 - July 25, 2014
DU PASQUIER & CO., INC.
January 22, 2007 - October 15, 2008
KNIGHT CAPITAL MARKETS LLC
March 19, 2004 - December 31, 2007
SOUND SECURITIES, LLC
September 26, 1978 - April 8, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 28, 1970 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 7/24/1970
Registered Representative ExaminationSeries 8
Date: 4/26/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MD GLOBAL PARTNERS, LLC
CRD#: 140988 / SEC#: , 8-67356
Contact information
FINRA licenses (17 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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