Ernest A. Cozzi

CETERA INVESTMENT ADVISERS LLC

Oak Brook, IL 60523

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CRD#: 1173200

Professional summary

Ernest Anthony Cozzi is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oak Brook, Illinois and CETERA WEALTH SERVICES, LLC located in Oak Brook, Illinois.

Ernest is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Ernest has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 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) PERSONALIZED FINANCIAL RESOURCES, LLC; SINCE 09/23/2011; SAME AS BRANCH ADDRESS; FINANCIAL CONSULTANT; DBA Personalized Financial Resources, LLC; 160 HOURS SPENT ON ACTIVITY PER MONTH; 160 HOURS SPENT ON ACTIVITY DURING TRADING HOURS (2) PERSONALIZED FINANCIAL RESOURCES, LLC; SINCE 09/23/2011; SAME AS BRANCH ADDRESS; FINANCIAL CONSULTANT; INSURANCE RELATED DUTIES FOR CLIENTS NEEDS; VARIABLE HOURS SPENT ON ACTIVITY PER MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ernest Anthony Cozzi'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1415 West 22 St Tower Floor, Oak Brook, IL 60523

RIA

CRD#: 105644

Oak Brook, IL

Current

September 20, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1415 West 22 St Tower Floor, Oak Brook, IL 60523

CRD#: 13572

Oak Brook, IL

Past

May 20, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

September 17, 2019 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

OAK BROOK, IL

Past

October 20, 2015 - September 9, 2019

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Oak Brook, IL

Past

October 5, 2015 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

Oak Brook, IL

Past

September 23, 2011 - November 13, 2015

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 124446

OAK BROOK, IL

Past

September 23, 2011 - December 4, 2015

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

OAKBROOK, IL

Past

December 20, 2006 - September 28, 2011

WORKMAN SECURITIES CORPORATION

RIA

CRD#: 31898

OAK BROOK, IL

Past

December 20, 2006 - September 28, 2011

WORKMAN SECURITIES CORPORATION

CRD#: 31898

OAK BROOK, IL

Past

March 8, 1998 - January 3, 2007

1717 CAPITAL MANAGEMENT COMPANY

RIA

CRD#: 4082

LOMBARD, IL

Past

April 10, 1996 - January 3, 2007

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

LOMBARD, IL

Past

October 4, 1994 - March 18, 1996

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

October 4, 1994 - March 18, 1996

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

October 18, 1984 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

October 18, 1984 - October 28, 1994

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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
(9/20/2019)

California
(9/20/2019)

Florida
(9/23/2019)

Hawaii
(9/20/2019)

Illinois
(9/20/2019)

IAR

Illinois
(6/29/2023)

Indiana
(9/20/2019)

Michigan
(4/27/2022)

Minnesota
(9/20/2019)

Nevada
(9/20/2019)

New Jersey
(5/22/2024)

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: 4/24/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/17/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/2/1992

Investment Company Products/Variable Contracts 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)

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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.

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Ernest A. Cozzi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ernest Anthony Cozzi's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

CETERA INVESTMENT ADVISERS LLC

SUMMIT BROKERAGE SERVICES, INC.

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

J.P. TURNER & COMPANY, L.L.C.

WORKMAN SECURITIES CORPORATION

WORKMAN SECURITIES CORPORATION

1717 CAPITAL MANAGEMENT COMPANY

1717 CAPITAL MANAGEMENT COMPANY

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/24/1991

SIE

Date: 10/1/2018

Series 7

Date: 2/15/1994

Series 6

Date: 10/17/1984

Series 26

Date: 3/2/1992

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

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