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Scott Alan Koziol

Baron Capital, Inc.

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About Scott Alan Koziol

Scott Koziol is a registered investment advisor with Baron Capital, Inc. Scott has been in the industry since 1994 and has a wide range of experience in the financial services industry. Scott is registered with the Financial Industry Regulatory Authority (FINRA) and has passed the Series 7, 6, and 63 exams as well as the SIE exam. Scott has worked for a number of firms during his career, including Calamos Financial Services LLC and Kemper Financial Services, Inc. Scott is currently registered in 13 states.

Firm Information

Scott Koziol is currently registered with Baron Capital, Inc.. Baron Capital, Inc. is a Corporation that was formed on March 16, 1982. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have been approved for registration with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

57

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Scott Koziol’s Registration & Firm History

NY

09/08/2011 - Present

Baron Capital, Inc. (NEW YORK NY)

IL

03/22/2004 - 08/17/2011

CALAMOS FINANCIAL SERVICES LLC (NAPERVILLE IL)

IL

03/14/2001 - 03/08/2004

SCUDDER DISTRIBUTORS, INC. (CHICAGO IL)

GA

05/22/2000 - 01/31/2001

DUNWOODY BROKERAGE SERVICES, INC. (ATLANTA GA)

IL

02/01/1995 - 05/17/2000

KEMPER DISTRIBUTORS, INC. (CHICAGO IL)

NA

10/21/1993 - 02/01/1995

KEMPER FINANCIAL SERVICES, INC.

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Licenses & Designations

IA

Issued 06/11/2009

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/19/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/29/1994

Series 7 - General Securities Representative Examination

BC

Issued 09/28/1993

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Scott Alan Koziol.
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