John J. Kozol

CETERA INVESTMENT ADVISERS LLC

REDMOND, WA

Some features on this profile are disabled

CRD#: 1123910

Professional summary

John Joseph Kozol is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Redmond, Washington and CETERA ADVISORS LLC located in Bellevue, Washington.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. John has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. NAME OF OTHER BUSINESS: HEADWATER WEALTH ADVISORS; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2025, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Joseph Kozol'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

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 777 108th Avenue Ne Suite 1800, Bellevue, WA 98004

RIA

CRD#: 105644

REDMOND, WA

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 777 108th Avenue Ne Suite 2060a, Bellevue, WA 98004

CRD#: 10299

Bellevue, WA

Past

July 2, 2012 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

BELLEVUE, WA

Past

June 9, 1995 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

BELLEVUE, WA

Past

December 15, 1994 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

BELLEVUE, WA

Past

August 25, 1989 - February 21, 1995

FIRST AFFILIATED SECURITIES

CRD#: 23737

LA JOLLA, CA

Past

May 1, 1985 - August 25, 1989

PFG SECURITIES, INC.

CRD#: 15401

Past

April 19, 1983 - May 16, 1985

PCI SECURITIES CORPORATION OF WASHINGTON

CRD#: 10285

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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

Arizona
(9/8/2022)

California
(9/8/2022)

Colorado
(9/8/2022)

Florida
(9/8/2022)

Idaho
(9/8/2022)

Illinois
(9/8/2022)

Kentucky
(9/8/2022)

Minnesota
(3/14/2025)

Montana
(9/8/2022)

New Jersey
(9/8/2022)

New Mexico
(9/8/2022)

Ohio
(9/8/2022)

Oregon
(9/8/2022)

IAR

Texas
(2/10/2022)

Texas
(9/8/2022)

IAR

Washington
(11/12/2020)

Washington
(9/8/2022)

Wisconsin
(9/8/2022)

Wyoming
(4/1/2025)

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

Series 63

Date: 5/7/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 12/8/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/23/1988

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John J. Kozol

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Joseph Kozol's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST AFFILIATED SECURITIES

PFG SECURITIES, INC.

PCI SECURITIES CORPORATION OF WASHINGTON

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/7/1982

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/16/1983

Series 51

Date: 12/8/2003

Series 24

Date: 3/23/1988

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors