RK
Regina M. Kozsan
CETERA INVESTMENT ADVISERS LLC
CONCORD, NH 03301
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CRD#: 1512892
RK
Professional summary
Regina M Kozsan, CFP®, who also goes by Regina Marie Moynihan Miss, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Concord, New Hampshire and CETERA ADVISORS LLC located in Concord, New Hampshire.
Regina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Regina has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Regina Marie Moynihan Miss
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: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 08/09/2016; APX NUMBER OF HOURS PER WEEK: 2 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG TERM CARE. 2. NAME OF OTHER BUSINESS: PARISH OF THE RESURRECTION; INVESTMENT RELATED: NO; ADDRESS: 449 BROAD STREET, NASHUA, NH 03063; NATURE OF BUSINESS: RELIGIOUS; START DATE: 9/2019; POSITION/TITLE/RELATIONSHIP: COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: REVIEW INCOME,EXPENSES,BUDGET. ASSIST WITH FUNDRAISING; 3. NAME OF OTHER BUSINESS: GLOBE WEALTH MANAGEMENT, LLC, DBA GLOBE WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 01/2022; POSITION/TITLE/RELATIONSHIP: PARTNER; APX NUMBER OF HOURS PER WEEK: 40 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 HOURS; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING/INVESTMENT PLANNING; 4. NAME OF OTHER BUSINESS: K & B REALTY, LLC, INVESTMENT RELATED: NO, ADDRESS: 46 S MAIN ST UNIT 5, CONCORD, NH 03301, NATURE OF BUSINESS: REAL ESTATE, START DATE: 04/2024, POSITION/TITLE/RELATIONSHIP: PARTNER, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: CONDO FOR INVESTMENT MANAGEMENT FIRM; 5. NAME OF OTHER BUSINESS: K & B REALTY, LLC, INVESTMENT RELATED: NO, ADDRESS: 46 S MAIN STREET, SUITE 5B, NATURE OF BUSINESS: REAL ESTATE, START DATE:07/2024, POSITION/TITLE/RELATIONSHIP: PARTNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: COLLECT RENTS AND TAKE CARE OF ANY ISSUES;
CRS (Client Relationship Summary) - RIA
Click below to view Regina M Kozsan's 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®
Start date: 2011
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 46 South Main Street Suite 3, Concord, NH 03301RIA
CRD#: 105644
CONCORD, NH
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 46 South Main Street Suite 5, Concord, NH 03301BD
CRD#: 10299
CONCORD, NH
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
November 7, 2008 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
CONCORD, NH
Past
October 10, 2008 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
CONCORD, NH
Past
May 31, 1990 - November 16, 1993
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
Past
May 21, 1987 - October 28, 1987
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
California(10/3/2016)
RR
Colorado(2/8/2024)
RR
Connecticut(1/3/2022)
RR
Delaware(1/3/2020)
RR
Florida(10/3/2016)
RR
Georgia(9/12/2018)
RR
Indiana(12/8/2021)
RR
Maine(10/3/2016)
RR
Maryland(11/23/2021)
RR
Massachusetts(10/3/2016)
RR
Michigan(11/23/2021)
RR
Minnesota(10/3/2016)
RR
Missouri(5/20/2022)
RR
Montana(2/8/2024)
RR
New Hampshire(10/3/2016)
IAR
New Hampshire(3/21/2024)
RR
New Jersey(10/3/2016)
RR
New York(10/3/2016)
RR
North Carolina(10/3/2016)
RR
Rhode Island(10/3/2016)
RR
South Carolina(12/2/2024)
RR
Texas(1/25/2021)
IAR
Texas(3/21/2024)
RR
Utah(5/14/2025)
RR
Virginia(1/27/2021)
RR
Washington(1/3/2020)
RR
Wyoming(1/3/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Concord, NH 03301TRUST BUT VERIFY
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