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Ernest Cozzi

Cetera Investment Advisers LLC
41 Years of Experience
Oak Brook, IL
7 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Ernest Cozzi is a ChFC-designated registered investment advisor at Cetera Investment Advisers LLC, based in Oak Brook, IL, with 41 years of industry experience. Ernest is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

1415 West 22 St, Tower Floor, Oak Brook, IL, 60523

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History

Regulatory History (7)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2026
Denied
Financial
February 2024
Final
Customer Dispute
December 2014
Settled
Customer Dispute
May 2011
Denied
Customer Dispute
April 2010
Settled
Customer Dispute
July 2009
Denied
Customer Dispute
December 1993
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Ernest works as a financial consultant for Personalized Financial Resources, LLC, dedicating full-time hours to this activity. He also performs insurance-related duties for clients, with variable hours spent on this aspect of the role.

Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 4 mos
Cetera Wealth Services, LLCBroker
September 2019 - Present · 7 yrs 1 mo
Previous Registrations
Cetera Advisor Networks LLC
May 2021 - June 2023 · 2 yrs 1 mo
Summit Financial Group INC
September 2019 - May 2021 · 1 yr 8 mos
Cetera Investment Advisers LLC
October 2015 - September 2019 · 3 yrs 11 mos
Summit Brokerage Services, INC.Broker
October 2015 - September 2019 · 3 yrs 11 mos
J.P. Turner & Company, L.L.C.Broker
September 2011 - December 2015 · 4 yrs 3 mos
J P Turner & Company Capital Management, LLC
September 2011 - November 2015 · 4 yrs 2 mos
Workman Securities Corporation
December 2006 - September 2011 · 4 yrs 9 mos
Workman Securities CorporationBroker
December 2006 - September 2011 · 4 yrs 9 mos
1717 Capital Management Company
March 1998 - January 2007 · 8 yrs 10 mos
1717 Capital Management CompanyBroker
April 1996 - January 2007 · 10 yrs 9 mos
Lincoln Financial Advisors CorporationBroker
October 1994 - March 1996 · 1 yr 5 mos
The Lincoln National Life Insurance CompanyBroker
October 1994 - March 1996 · 1 yr 5 mos
Pruco Securities CorporationBroker
October 1984 - October 1994 · 10 yrs
The Prudential Insurance Company of AmericaBroker
October 1984 - December 1993 · 9 yrs 2 mos
State Registrations12 states
AZCAFLHIILINMIMNNJNVVAWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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