Gary M. Wozny

LCM CAPITAL MANAGEMENT

Chicago, IL 60606

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CRD#: 1749964

Professional summary

Gary Michael Wozny, who also goes by Gary Wozny, is a registered financial advisor currently at LCM CAPITAL MANAGEMENT INC located in Chicago, Illinois.

Gary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Gary has worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gary Wozny

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.

INDEPENDENT INSURANCE AGENT; INVESTMENT RELATED; CHICAGO, IL 60606; 1989.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Michael Wozny'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

April 23, 2001 - Present

LCM CAPITAL MANAGEMENT INC

Office #1: 209 W. Jackson Boulevard Suite 777, Chicago, IL 60606

RIA

CRD#: 111074

Chicago, IL

Past

October 4, 2012 - November 25, 2013

QUANTUM CAPITAL INVESTMENTS, INC.

RIA

CRD#: 156037

ELMWOOD PARK, IL

Past

April 26, 2001 - July 31, 2012

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

CHICAGO, IL

Past

January 24, 2000 - May 1, 2001

MADISON SECURITIES, INC.

CRD#: 32176

CHICAGO, IL

Past

March 2, 1998 - January 24, 2000

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

November 22, 1994 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

January 2, 1992 - December 1, 1994

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

May 1, 1989 - January 15, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 19, 1988 - May 26, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

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".

LCM CAPITAL MANAGEMENT INC

CRD#: 111074 / SEC#: 801-67893

RIA

Registered Investment Advisory firm - (5/23/2007 Approved)

Illinois

Registered Investment Advisory firm - (5/30/2007 Terminated)

Indiana

Registered Investment Advisory firm - (7/24/2007 Terminated)

Texas

Registered Investment Advisory firm - (7/24/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(4/23/2001)

IAR

Texas
(5/24/2005)

IAR

Wisconsin
(5/4/2018)

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

IAR

Series 65

Date: 12/22/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/30/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/16/1988

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 11/20/1987

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 4/7/2000

General Securities Principal Examination

Current Firm

LCM CAPITAL MANAGEMENT INC

CRD#: 111074 / SEC#: 801-67893

RIA

Registered Investment Advisory firm - (5/23/2007 Approved)

Illinois

Registered Investment Advisory firm - (5/30/2007 Terminated)

Indiana

Registered Investment Advisory firm - (7/24/2007 Terminated)

Texas

Registered Investment Advisory firm - (7/24/2007 Terminated)

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Contact information

Main Address

209 W. Jackson Boulevard Suite 777, Chicago, IL 60606

Mailing Address

Phone number

(312) 705-3013

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (4/24/2025)

FORM ADV APPENDIX WRAP BROCHURE (4/24/2025)

Regulatory assets under management

Total Number of Accounts	932
AUM (Assets Under Management)	$ 365,277,954

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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Advisor Monitoring

Firm Stability Insights

Gary M. Wozny

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Michael Wozny's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUANTUM CAPITAL INVESTMENTS, INC.

LASALLE ST SECURITIES, L.L.C.

MADISON SECURITIES, INC.

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

CIBC WORLD MARKETS CORP.

LEHMAN BROTHERS INC.

DREXEL BURNHAM LAMBERT INCORPORATED

Primary Firm SEC Registration

LCM CAPITAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/1999

Series 63

Date: 10/30/1987

Series 7

Date: 1/16/1988

Series 3

Date: 11/20/1987

Series 24

Date: 4/7/2000

Current Firm

LCM CAPITAL MANAGEMENT INC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LCM CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

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