Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Harty Kozlik is a financial advisor with over 20 years of experience in the industry. Thomas is currently registered with Hilltop Securities Inc. in Dallas, TX. Thomas has experience with a variety of investment products and services, including municipal securities, securities industry essentials and general securities. Thomas has previously worked with PNC CAPITAL MARKETS LLC, JANNEY MONTGOMERY SCOTT LLC, BEAR, STEARNS & CO. INC., UBS SECURITIES LLC and UBS FINANCIAL SERVICES INC. In addition to his Series 7, Series 52, Series 53 and Series 63 licenses, Thomas holds a number of designations. Thomas is a specialist in fixed income securities, mutual funds, variable annuities, and insurance products.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
12b-1 fees
1
2
TX
04/29/2019 - Present
Hilltop Securities Inc. (DALLAS TX)
PA
07/07/2015 - 12/27/2018
PNC CAPITAL MARKETS LLC (PHILADELPHIA PA)
PA
06/24/2008 - 06/29/2015
JANNEY MONTGOMERY SCOTT LLC (PHILADELPHIA PA)
NY
10/26/2007 - 06/16/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
IL
01/16/2006 - 04/18/2007
UBS SECURITIES LLC (CHICAGO IL)
NJ
07/06/2001 - 01/16/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BC
Issued 03/11/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/28/2013
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/02/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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