John W. Cozart
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.
John Wallace Cozart was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1976. John had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 52 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 1979 - May 13, 2019
CARTY, HARDING & HEARN, INC.
June 21, 1978 - April 29, 1979
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
December 14, 1976 - August 8, 1978
WADDELL & REED
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 1
Date: 12/10/1976
Registered Representative ExaminationCurrent Firm
CARTY, HARDING & HEARN, INC.
CRD#: 7001 / SEC#: , 8-19082
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 19 |
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.
