John Kozol is a CFA-designated registered investment advisor, based in Bellevue, WA, with 42 years of industry experience.
Location
11400 SE 8th St, Suite 205, Bellevue, WA, 98004
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Cetera Advisors LLC
September 2022 - Present · 3 yrs 10 mos
Cetera Advisors LLCBroker
September 2022 - Present · 3 yrs 10 mos
Cetera Investment Advisers LLC
November 2020 - Present · 5 yrs 8 mos
Previous Registrations
First Allied Advisory Services, INC.
July 2012 - November 2020 · 8 yrs 4 mos
First Allied Securities, INC.
June 1995 - July 2012 · 17 yrs 1 mo
First Allied Securities, INC.Broker
December 1994 - September 2022 · 27 yrs 9 mos
First Affiliated SecuritiesBroker
August 1989 - February 1995 · 5 yrs 6 mos
Pfg Securities, INC.Broker
May 1985 - August 1989 · 4 yrs 3 mos
Professional Securities Corporation of WashingtonBroker
April 1983 - May 1985 · 2 yrs 1 mo
State Registrations15 states
AZCAFLIDKYMNMTNJNMOHORTXWAWIWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.