Joan M. Zimniewicz

E. A. HORWITZ LLC

Gilbert, AZ 85234

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CRD#: 1023149

Professional summary

Joan Marie Zimniewicz, who also goes by Joan Zimniewicz Kopsky, Jody Kopsky, Jody Zimniewicz, is a registered financial advisor currently at E. A. HORWITZ LLC located in Gilbert, Arizona and LASALLE ST SECURITIES, L.L.C. located in Gilbert, Arizona.

Joan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Joan has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 15, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joan Zimniewicz Kopsky | Jody Kopsky | Jody Zimniewicz

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Horwitz & Associates; Investment-Related; DBA for Securities Business 2) E.A. Horwitz LLC; Investment-Related; Registered Investment Advisor (RIA); Investment Adviser Representative

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joan Marie Zimniewicz's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 20, 2019 - Present

E. A. HORWITZ LLC

Office #1: 1325 E. Clearwater Ln., Gilbert, AZ 85234

RIA

CRD#: 165561

Gilbert, AZ

Current

July 5, 2023 - Present

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

Gilbert, AZ

Past

April 4, 2013 - July 5, 2023

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

PASADENA, CA

Past

March 20, 2013 - December 19, 2019

E. A. HORWITZ LLC

RIA

CRD#: 165561

DEERFIELD, IL

Past

February 7, 2013 - April 2, 2013

INSIGHT SECURITIES, INC.

CRD#: 5611

RIVERWOODS, IL

Past

August 22, 2001 - February 11, 2013

SANCTUARY SECURITIES, INC.

RIA

CRD#: 205

CHICAGO, IL

Past

December 24, 1981 - February 11, 2013

SANCTUARY SECURITIES, INC.

CRD#: 205

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

E. A. HORWITZ LLC

E. A. HORWITZ LLC | THE HELMSMAN GROUP | HORWITZ & ASSOCIATES

CRD#: 165561 / SEC#: 801-77366

RIA

Registered Investment Advisory firm - (11/16/2012 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Arizona
(12/20/2019)

Arizona
(7/5/2023)

California
(7/24/2023)

Florida
(7/11/2023)

Illinois
(7/5/2023)

Indiana
(7/18/2023)

Kansas
(7/28/2023)

Maryland
(7/13/2023)

Michigan
(7/17/2023)

Minnesota
(7/14/2023)

Missouri
(7/25/2023)

Montana
(1/23/2024)

Texas
(7/18/2023)

Virginia
(7/24/2023)

Wisconsin
(7/18/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/15/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/8/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/16/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 15

Date: 7/23/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 12/19/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 10/18/1983

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

E. A. HORWITZ LLC

E. A. HORWITZ LLC | THE HELMSMAN GROUP | HORWITZ & ASSOCIATES

CRD#: 165561 / SEC#: 801-77366

RIA

Registered Investment Advisory firm - (11/16/2012 Approved)

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Contact information

Main Address

1650 Lake Cook Rd. Suite 190, Deerfield, IL 60015

Mailing Address

Phone number

(224) 632-4600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HORWITZ AND ASSOC ADV PART 2 (3/28/2025)

E.A. HORWITZ ADV BROCHURE APPENDIX (3/28/2025)

Regulatory assets under management

Total Number of Accounts	369
AUM (Assets Under Management)	$ 221,419,170

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Joan M. Zimniewicz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joan Marie Zimniewicz's CRS (Customer Relationship Summary).

Certified licenses

Experience

LASALLE ST SECURITIES, L.L.C.

WESTERN INTERNATIONAL SECURITIES, INC.

E. A. HORWITZ LLC

INSIGHT SECURITIES, INC.

SANCTUARY SECURITIES, INC.

SANCTUARY SECURITIES, INC.

Primary Firm SEC Registration

E. A. HORWITZ LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/15/1999

Series 63

Date: 1/8/1982

SIE

Date: 10/1/2018

Series 55

Date: 2/16/2000

Series 15

Date: 7/23/1984

Series 7

Date: 12/19/1981

Series 4

Date: 10/18/1983

FINRA

Current Firm

E. A. HORWITZ LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

E. A. HORWITZ LLC

TRUST BUT VERIFY

Contact information

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