Allan M. Kosofsky
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.
Allan Michael Kosofsky, who also goes by Al Kosofsky, was a registered financial advisor .
Allan is a previously registered financial advisor and started their career in finance in 1980. Allan had worked at 13 firms and has passed the Series 65, Series 63, Series 5, Series 7, 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 6, 2005 - February 13, 2008
BRECEK & YOUNG ADVISORS, INC.
April 1, 2004 - February 13, 2008
BRECEK & YOUNG ADVISORS, INC.
October 24, 2003 - March 30, 2004
MOMENTUM INDEPENDENT NETWORK INC.
October 23, 2003 - March 30, 2004
MOMENTUM INDEPENDENT NETWORK INC.
December 11, 2000 - October 22, 2003
IBC INVESTMENTS
January 27, 1998 - October 22, 2003
IBC INVESTMENTS
August 13, 1996 - January 16, 1998
INVEST FINANCIAL CORPORATION
May 22, 1995 - July 31, 1996
AMERICAN INVESTORS GROUP, INC.
January 22, 1993 - May 12, 1995
CULLUM & SANDOW SECURITIES, INC.
October 9, 1991 - February 3, 1993
ANDREWS, HENTGES & ASSOCIATES, INC.
March 27, 1989 - November 6, 1989
ANDERSON, BRYANT & CO.
August 25, 1988 - April 13, 1989
LEHMAN BROTHERS INC.
June 29, 1988 - November 6, 1989
ANDERSON, BRYANT & CO.
July 16, 1985 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, INC.
July 17, 1984 - July 9, 1985
QUINN & CO., INC.
February 23, 1983 - October 17, 1984
PRUDENTIAL EQUITY GROUP, LLC
May 28, 1982 - January 22, 1983
MORGAN STANLEY DW INC.
September 23, 1980 - June 2, 1982
PRUDENTIAL EQUITY GROUP, LLC
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
Series 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 8
Date: 11/29/1982
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BRECEK & YOUNG ADVISORS, INC.
CRD#: 40395 / SEC#: 801-51940, 8-49022
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORPORATION | HOLDING COMPANY | |
| DEWALD, TERRANCE SHAWN | SENIOR VP, GENERAL COUNSEL, SECRETARY | 3173980 |
| HEENEY, JAMES MICHEAL | SENIOR VP, SALES SUPERVISION AND OPERATIONS | 3019122 |
| MCWHORTER, STEVEN FORD | CEO, DIRECTOR | 2130681 |
| MILLER, KEVIN JOSEPH | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | 4133001 |
| NAGENGAST, JAMES DELWYN | DIRECTOR | 2571451 |
| PARSONS, GAYLE ELIZABETH | VP, TREASURER, FINOP | 2824340 |
| RANNEY, CHRISTOPHER JOHN | PRESIDENT, DIRECTOR | 1708781 |
| WERTHEIM, PAMELA JANINE | DIRECTOR | 1311477 |
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.
