Richard Alan Kos

Current Employers

Sursum Financial Llc

Madison, CT • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2022-02-14

CT RA
APPROVED

Since 2022-02-14

Branch Locations

Madison, CT • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Kos Consultants	Madison	CT	11/2007	Present

11/2007 → Present

Kos Consultants

Madison, CT

Previous Registrations

2007-07-26 → 2007-11-27

Carolina Capital Markets, Inc.

Madison, CT

Chapel Hill, NC
2006-04-06 → 2007-07-03

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New Haven, CT

Other Businesses

PRESIDENT, KOS CONSULTANTS, EDUCATIONAL INSTITUTIONAL CONSULTING AND MARKETING SERVICES. 20hrs per week. Non Securities related

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-04-05
S63	Uniform Securities Agent State Law Examination	1988-07-06

S65 Uniform Investment Adviser Law Examination

2006-04-05
S63 Uniform Securities Agent State Law Examination

1988-07-06

Designations

View on SEC IAPD