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Detailed Report
WESLEY MICHAEL KOTYS
WES KOTYS
CRD#: 4051934
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Investment Adviser
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Previous Broker
KOTYS WEALTH PROFESSIONALSCRD#: 168156 1111 GLENDALE BLVD
SUITE 105
VALPARAISO, IN 46383
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2003 (2 years)2 FIRMS2007 - 2013 (6 years)IAKOTYS WEALTH PROFESSIONALS (CRD# 168156)2013 - Present (11 years)BGRADIENT SECURITIES, LLC (CRD# 127701)2013 - 2015 (2 years)BEDWARD JONES (CRD# 250)2003 - 2007 (3 years)BNYLIFE SECURITIES INC. (CRD# 5167)2001 - 2001 (<1 year)BPRUCO SECURITIES CORPORATION (CRD# 5685)1999 - 2000 (<1 year)IAEDWARD JONES (CRD# 250)2007 - 2007 (<1 year)
License(s)

State Registrations

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Indiana 11/1/2013
Current Registration(s)
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KOTYS WEALTH PROFESSIONALS (CRD#:168156)
1111 GLENDALE BLVD SUITE 105, VALPARAISO, IN 46383
Registered with this firm since 11/1/2013
Previous Registration(s)
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 11/22/2013 - 12/31/2015 GRADIENT SECURITIES, LLC (CRD#:127701) VALPARAISO, IN
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 06/15/2007 - 11/25/2013 LPL FINANCIAL LLC (CRD#:6413) VALPARAISO, IN
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 06/15/2007 - 11/25/2013 LPL FINANCIAL LLC (CRD#:6413) VALPARAISO, IN
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 02/27/2007 - 06/18/2007 EDWARD JONES (CRD#:250) VALPARAISO, IN
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 12/16/2003 - 06/18/2007 EDWARD JONES (CRD#:250) VALPARAISO, IN
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 11/14/2001 - 12/15/2003 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) VALPARAISO, IN
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 03/28/2001 - 12/15/2003 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
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 02/02/2001 - 03/07/2001 NYLIFE SECURITIES INC. (CRD#:5167) NEW YORK, NY
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 12/07/1999 - 01/13/2000 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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
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.