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SR

Stephen J. Rozinski

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CRD#: 724431
SR

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 Joseph Rozinski, who also goes by Steven Kozinski, Steve Rozinski, Steven Joseph Rozinski, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1981. Stephen had worked at 11 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven Kozinski | Steve Rozinski | Steven Joseph Rozinski

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

April 7, 1988 - November 29, 1988

PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.

BD
CRD#: 13741
Past

December 7, 1987 - January 11, 1988

POWER SECURITIES CORPORATION

BD
CRD#: 15527
Past

January 15, 1987 - July 20, 1987

MARSHALL DAVIS, INC.

BD
CRD#: 16278
Past

August 26, 1986 - January 14, 1987

TRI-BRADLEY INVESTMENTS

BD
CRD#: 14208
Past

March 21, 1986 - June 27, 1986

FITZGERALD, TALMAN, INC.

BD
CRD#: 13699
Past

September 25, 1985 - December 5, 1986

PACIFIC SOUTHERN SECURITIES, INC.

BD
CRD#: 13155
Past

July 28, 1984 - July 26, 1985

BREUER CAPITAL CORPORATION

BD
CRD#: 13700
Past

May 24, 1984 - July 31, 1984

CHESLEY AND DUNN, INC.

BD
CRD#: 8362
Past

December 23, 1983 - August 13, 1984

WALFORD, DEMARET & CO., INC.

BD
CRD#: 7985
Past

June 28, 1982 - October 4, 1982

VANTAGE SECURITIES OF COLORADO, INC.

BD
CRD#: 8622
Past

February 23, 1981 - June 9, 1982

OTC NET INCORPORATED

BD
CRD#: 7756

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: 3/30/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/1981
General Securities Representative Examination

Current Firm

PA
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
EQUISEARCH INVESTMENT BANKERS CORPORATION | SPRUNG AND WISE SECURITIES, INC. | SPRUNG & WISE SECURITIES, INC. | SPRUNG & WISE AND BRIDGEROCK SECURITIES | PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC. | PORTFOLIO ASSET MGT. & INVESTMENT ADVISORY SERVICES, INC. | NONE

CRD#: 13741 / SEC#: , 8-45398

BD
Cancelled by SEC on 07/15/1998
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 01/08/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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

PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.

CRD#: 13741

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