John C. Kosik

CAPSTONE FINANCIAL ADVISORS

Downers Grove, IL 60515

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CRD#: 1320514

Professional summary

John Charles Kosik, CFP® is a registered financial advisor currently at CAPSTONE FINANCIAL ADVISORS INC located in Downers Grove, Illinois.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. John has worked at 5 firms and has passed the Series 63, Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Charles Kosik'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: 1994

Experience

Current

May 12, 2011 - Present

CAPSTONE FINANCIAL ADVISORS INC

Office #1: 2001 Butterfield Road Suite 1750, Downers Grove, IL 60515

RIA

CRD#: 109341

Downers Grove, IL

Past

November 12, 1996 - January 20, 2005

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

June 20, 1994 - October 10, 1995

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

January 21, 1993 - May 13, 1994

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

February 8, 1990 - February 4, 1991

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

November 21, 1984 - December 11, 1989

BALCOR SECURITIES COMPANY

CRD#: 6539

SKOKIE, 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".

CAPSTONE FINANCIAL ADVISORS INC

CRD#: 109341 / SEC#: 801-56979

RIA

Registered Investment Advisory firm - (11/16/1999 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
(5/12/2011)

IAR

Texas
(3/11/2016)

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: 1/9/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/17/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/28/1985

General Securities Principal Examination

Current Firm

CAPSTONE FINANCIAL ADVISORS INC

CRD#: 109341 / SEC#: 801-56979

RIA

Registered Investment Advisory firm - (11/16/1999 Approved)

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Contact information

Main Address

2001 Butterfield Road Suite 1750, Downers Grove, IL 60515

Mailing Address

Phone number

(630) 241-0833

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPSTONE FINANCIAL ADVISORS FOR ADV PART 2 DATED 3-2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	4,008
AUM (Assets Under Management)	$ 2,441,937,272

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/15/2025	Cover Page	Report
01/06/2025	Cover Page	Report
12/19/2023	Cover Page	Report
07/25/2022	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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John C. Kosik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Charles Kosik's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BALCOR SECURITIES COMPANY

Primary Firm SEC Registration

CAPSTONE FINANCIAL ADVISORS INC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/9/1985

Series 7

Date: 11/17/1984

Series 24

Date: 1/28/1985

Current Firm

CAPSTONE FINANCIAL ADVISORS INC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPSTONE FINANCIAL ADVISORS INC

TRUST BUT VERIFY

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