Lee F. Smith

COZAD ASSET MANAGEMENT

CHAMPAIGN, IL 61821

Some features on this profile are disabled

CRD#: 1281878

Professional summary

Lee Francis Smith, CFP® is a registered financial advisor currently at COZAD ASSET MANAGEMENT INC located in Champaign, Illinois.

Lee is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Lee has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

What are your service offerings?

Investment Planning

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) Lee F. Smith; 2501 Galen Drive, Champaign, IL 61821; 04/16/2020; Insurance Agent; Sales of term-life and fixed annuities; Investment Related; 0 hours/month; 0 hours/month during business hours; Commissions.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lee Francis Smith'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®

CFP^®

Certified Financial Planner

Start date: 1989

Experience

Current

February 17, 1998 - Present

COZAD ASSET MANAGEMENT INC

Office #1: 2501 Galen Drive, Champaign, IL 61821

RIA

CRD#: 104764

CHAMPAIGN, IL

Past

September 1, 2009 - October 14, 2021

M HOLDINGS SECURITIES, INC.

CRD#: 43285

CHAMPAIGN, IL

Past

January 24, 2005 - December 31, 2008

PHYSICIAN ADVISORY RESOURCES,LLC

RIA

CRD#: 127963

CHAMPAIGN, IL

Past

December 7, 1990 - September 4, 2009

FSC SECURITIES CORPORATION

CRD#: 7461

CHAMPAIGN, IL

Past

September 11, 1984 - December 7, 1990

COZAD INVESTMENT SERVICES, INC.

CRD#: 10065

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".

COZAD ASSET MANAGEMENT INC

COZAD ASSET MANAGEMENT INC | ILLINI WEALTH

CRD#: 104764 / SEC#: 801-18060

RIA

Registered Investment Advisory firm - (12/7/1982 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.

Highlighted states indicate IAR registrations

IAR

Illinois
(2/17/1998)

IAR

Texas
(3/5/2024)

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.

Exams

State Security Law Exam

Series 63

Date: 1/29/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 8/24/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/21/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/2/1989

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/29/1988

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/26/1988

General Securities Principal Examination

Current Firm

COZAD ASSET MANAGEMENT INC

COZAD ASSET MANAGEMENT INC | ILLINI WEALTH

CRD#: 104764 / SEC#: 801-18060

RIA

Registered Investment Advisory firm - (12/7/1982 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

2501 Galen Drive, Champaign, IL 61821-7005

Mailing Address

P. O. Box 3669, Champaign, IL 61826-3669

Phone number

(217) 356-8363

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COZAD ASSET MANAGEMENT ADV PART 2A BROCHURE - MAY 2025 (5/22/2025)

Regulatory assets under management

Total Number of Accounts	3,424
AUM (Assets Under Management)	$ 2,240,693,977

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/23/2025	Cover Page	Report
07/26/2024	Cover Page	Report
12/11/2023	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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Thomas Arasz

BMORE FINANCIALLY FIT

IAR

Baltimore, MD

Lawrence Jones

FRANKLIN DISTRIBUTORS, LLC

SAN MATEO, CA

James Daoust

OSAIC WEALTH, INC.

SCOTTSDALE, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lee F. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lee Francis Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

M HOLDINGS SECURITIES, INC.

PHYSICIAN ADVISORY RESOURCES,LLC

FSC SECURITIES CORPORATION

COZAD INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

COZAD ASSET MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/29/1985

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 8/24/1999

Series 7

Date: 7/21/1984

Series 53

Date: 10/2/1989

Series 4

Date: 3/29/1988

Series 24

Date: 2/26/1988

Current Firm

COZAD ASSET MANAGEMENT INC

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

COZAD ASSET MANAGEMENT INC

TRUST BUT VERIFY

Contact information

Similar Advisors