John M. Kosmicki

OSAIC WEALTH

Windsor, CO 80528

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CRD#: 2093885

Professional summary

John Martin Kosmicki is a registered financial advisor currently at OSAIC WEALTH, INC. located in Windsor, Colorado.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. John has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 22, Series 62, Series 6, Series 39, Series 51 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) KOSMICKI INVESTMENT SERVICES LLC POSITION: Owner,dba for securities, fixed Ins, and advisory business under corp RIA NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 160 START DATE: 04/01/1997 ADDRESS: 8010 SCR 5, Windsor CO 80528, United States DESCRIPTION: Registered Rep with Woodbury Financial 2) 8010 SCR5 LLC POSITION: er NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 8 START DATE: 03/17/2022 ADDRESS: 8010 South County Road 5, Greeley CO 80528, United States DESCRIPTION: Management of office building.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Martin Kosmicki's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view John Martin Kosmicki'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

January 19, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 8010 South County Road 5 Suite 106, Windsor, CO 80528

RIA

CRD#: 23131

Windsor, CO

Current

January 19, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 8010 South County Road 5 Suite 106, Windsor, CO 80528

RIA

CRD#: 23131

Windsor, CO

Past

March 1, 2019 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

WINDSOR, CO

Past

March 1, 2019 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

WINDSOR, CO

Past

April 3, 2008 - March 1, 2019

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

CHEYENNE, WY

Past

January 2, 2001 - March 1, 2019

QUESTAR CAPITAL CORPORATION

CRD#: 43100

GREELEY, CO

Past

August 5, 1998 - January 3, 2001

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

April 4, 1997 - August 5, 1998

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

October 8, 1990 - April 11, 1997

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

October 8, 1990 - April 11, 1997

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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

Alaska
(2/20/2024)

Arizona
(1/19/2024)

California
(1/19/2024)

Colorado
(1/19/2024)

IAR

Colorado
(1/19/2024)

Florida
(1/19/2024)

Idaho
(1/19/2024)

North Carolina
(4/5/2024)

South Carolina
(1/19/2024)

South Dakota
(1/19/2024)

Texas
(1/19/2024)

Wyoming
(1/19/2024)

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

IAR

Series 65

Date: 4/1/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/26/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 11/22/2004

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 62

Date: 8/20/1999

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 10/5/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 39

Date: 12/28/2004

Direct Participation Programs Principal Examination

Principal/Supervisory Exam

Series 51

Date: 3/17/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 10/20/1998

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	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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Firm Stability Insights

John M. Kosmicki

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Martin Kosmicki's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view John Martin Kosmicki's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

HORNOR, TOWNSEND & KENT, LLC

NATHAN & LEWIS SECURITIES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/1/2008

Series 63

Date: 11/26/1997

SIE

Date: 10/1/2018

Series 22

Date: 11/22/2004

Series 62

Date: 8/20/1999

Series 6

Date: 10/5/1990

Series 39

Date: 12/28/2004

Series 51

Date: 3/17/2003

Series 26

Date: 10/20/1998

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

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