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GREGORY ALLEN KOSTKA
CRD#: 1912327
IA
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RBC CAPITAL MARKETS, LLCCRD#: 31194 833 E. Michigan Street
Suite 1100
Milwaukee, WI 53202
Suite 1100
Milwaukee, WI 53202
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Disclosures
36
Years of Experience
View By:
State Registrations
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Arizona 10/20/2022
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Nevada 10/20/2022
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Colorado 10/20/2022
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New York 10/20/2022
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Florida 10/20/2022
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North Carolina 10/20/2022
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Georgia 10/20/2022
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Oregon 10/20/2022
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Idaho 12/1/2022
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Texas 10/20/2022
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Illinois 11/3/2022
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Texas 10/20/2022
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Maine 10/20/2022
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Wisconsin 10/20/2022
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Minnesota 10/20/2022
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Wisconsin 10/20/2022
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 10/20/2022
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Registered with this firm since 10/20/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 10/27/2022 | Milwaukee, WI | |
B | 06/01/2009 - 10/27/2022 | Milwaukee, WI | |
IA | 05/05/1997 - 06/01/2009 | MILWAUKEE, WI | |
B | 02/18/1997 - 06/01/2009 | MILWAUKEE, WI | |
B | 11/30/1989 - 02/07/1997 | NEWARK, NJ | |
B | 11/30/1989 - 12/10/1993 | NEWARK, NJ | |
B | 02/08/1989 - 11/14/1989 | EAU CLAIRE, WI |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.