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SK

Szczepan K. Kosmaczewski

Some features on this profile are disabled
CRD#: 7192377
SK

Professional summary

Szczepan Karol Kosmaczewski was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Szczepan is a previously registered financial professional and started their career in finance in 2020. Prior to being barred, Szczepan had worked at 5 firms, which includes PHX FINANCIAL INC., CRAFT CAPITAL MANAGEMENT LLC, JOSEPH GUNNAR & CO. LLC, JOSEPH STONE CAPITAL L.L.C., WORDEN CAPITAL MANAGEMENT LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven Karol | Szczepan Karol Kosmaczewski | Steven Kostis

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.
The advisor shows no other business activity.

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

November 19, 2024 - February 10, 2025

PHX FINANCIAL, INC.

BD
CRD#: 144403
NEW YORK, NY
Past

March 23, 2022 - November 20, 2023

CRAFT CAPITAL MANAGEMENT LLC

BD
CRD#: 171350
New York, NY
Past

September 29, 2021 - March 18, 2022

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
NEW YORK, NY
Past

December 18, 2020 - October 1, 2021

JOSEPH STONE CAPITAL L.L.C.

BD
CRD#: 159744
MINEOLA, NY
Past

June 13, 2020 - December 17, 2020

WORDEN CAPITAL MANAGEMENT LLC

BD
CRD#: 148366
New York, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 11/16/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/13/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/18/2020
Securities Industry Essentials Examination

Current Firm

PF
PHX FINANCIAL, INC.
BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
100 Wall Street Floor 10, New York, NY 10005
Mailing Address
100 Wall Street Floor 10, New York, NY 10005
Phone number
(212) 776-4187
Established
Florida since 12/27/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LPPARENT OF BROKER DEALER
CHEN, KEVINCEO4871316
GILMAN, ROBERT CRAIGFINOP - PFO1738412
MONTANA, JOSEPH RYANROSFP, MSRB PRINCIPAL5640919
OTOYA, DANIEL ORLANDOCHIEF COMPLIANCE OFFICER2208241

Disclosures

Regulatory Event4
Arbitration2

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.

Company Information

PHX FINANCIAL, INC.

CRD#: 144403

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