Michael A. Cozzi

HARBOR FUNDS DISTRIBUTORS

Chicago, IL 60606

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CRD#: 2143502

Professional summary

Michael Anthony Cozzi is a registered financial professional currently at HARBOR FUNDS DISTRIBUTORS, INC. located in Chicago, Illinois.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Michael Anthony Cozzi'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®

None

Experience

Current

January 28, 2020 - Present

HARBOR FUNDS DISTRIBUTORS, INC.

Office #1: 111 South Wacker Drive 34th Floor, Chicago, IL 60606

CRD#: 113506

Chicago, IL

Past

August 15, 2018 - January 21, 2020

MORNINGSTAR INVESTMENT SERVICES LLC

CRD#: 112525

CHICAGO, IL

Past

July 8, 2016 - May 17, 2017

AMG DISTRIBUTORS, INC.

CRD#: 27314

STAMFORD, CT

Past

March 17, 2014 - July 1, 2016

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

CHICAGO, IL

Past

August 29, 2011 - March 29, 2012

DFA SECURITIES LLC

CRD#: 10292

AUSTIN, TX

Past

January 25, 2007 - May 19, 2011

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

Past

September 16, 2005 - October 11, 2006

DFA SECURITIES LLC

CRD#: 10292

SANTA MONICA, CA

Past

January 2, 2002 - August 30, 2005

STERLING CAPITAL DISTRIBUTORS, LLC

CRD#: 103934

PORTLAND, ME

Past

May 30, 2001 - January 2, 2002

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

PORTLAND, ME

Past

May 4, 1999 - October 6, 1999

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850

NAPERVILLE, IL

Past

July 13, 1992 - July 10, 1995

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

May 22, 1991 - July 3, 1991

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(3/17/2020)

Alaska
(3/18/2020)

Arizona
(3/20/2020)

Arkansas
(3/17/2020)

California
(3/6/2020)

Colorado
(3/16/2020)

Connecticut
(3/16/2020)

Delaware
(3/17/2020)

District of Columbia
(3/6/2020)

Florida
(3/6/2020)

Georgia
(3/6/2020)

Hawaii
(5/27/2020)

Idaho
(3/6/2020)

Illinois
(3/16/2020)

Indiana
(3/17/2020)

Iowa
(3/12/2020)

Kansas
(3/12/2020)

Kentucky
(3/18/2020)

Louisiana
(3/17/2020)

Maine
(3/6/2020)

Maryland
(3/6/2020)

Massachusetts
(3/6/2020)

Michigan
(3/9/2020)

Minnesota
(3/19/2020)

Mississippi
(3/19/2020)

Missouri
(3/5/2020)

Montana
(3/6/2020)

Nebraska
(3/16/2020)

Nevada
(3/16/2020)

New Hampshire
(3/24/2020)

New Jersey
(3/9/2020)

New Mexico
(3/20/2020)

New York
(3/17/2020)

North Carolina
(3/6/2020)

North Dakota
(3/16/2020)

Ohio
(3/5/2020)

Oklahoma
(3/17/2020)

Oregon
(3/12/2020)

Pennsylvania
(3/6/2020)

Puerto Rico
(3/17/2020)

Rhode Island
(3/16/2020)

South Carolina
(3/16/2020)

South Dakota
(3/24/2020)

Tennessee
(3/17/2020)

Texas
(3/9/2020)

Utah
(3/6/2020)

Vermont
(3/16/2020)

Virgin Islands
(3/18/2020)

Virginia
(3/6/2020)

Washington
(3/18/2020)

West Virginia
(3/23/2020)

Wisconsin
(3/6/2020)

Wyoming
(3/23/2020)

Exams

State Security Law Exam

Series 63

Date: 3/2/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/3/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/20/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/21/2020

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HARBOR FUNDS DISTRIBUTORS, INC.

BCA SECURITIES, INC. | HCA SECURITIES, INC. | HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506 / SEC#: , 8-53339

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

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Contact information

Main Address

111 South Wacker Drive 34th Floor, Chicago, IL 60606

Mailing Address

111 South Wacker Drive 34th Floor, Chicago, IL 60606

Phone number

(312) 443-4420

Established

Delaware since 02/21/2001

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HARBOR CAPITAL ADVISORS, INC.	SHAREHOLDER
HALABY, JOHN STEVE	PRESIDENT AND DIRECTOR	2543904
KUNKEL, JACOB JEFFREY	CHIEF FINANCIAL OFFICER AND TREASURER	6108628
MCCAIN, CHARLES FREDERICK	CHIEF EXECUTIVE OFFICER AND DIRECTOR	4865638
NEE, STEPHANIE ANN	CHIEF COMPLIANCE OFFICER	4968097

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

Michael A. Cozzi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Anthony Cozzi's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORNINGSTAR INVESTMENT SERVICES LLC

AMG DISTRIBUTORS, INC.

FORESIDE FUNDS DISTRIBUTORS LLC

DFA SECURITIES LLC

PACIFIC SELECT DISTRIBUTORS, LLC

DFA SECURITIES LLC

STERLING CAPITAL DISTRIBUTORS, LLC

FORESIDE FUNDS DISTRIBUTORS LLC

CALAMOS FINANCIAL SERVICES LLC

NUVEEN SECURITIES, LLC

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/2/2020

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/3/1999

Series 6

Date: 5/20/1991

Series 24

Date: 9/21/2020

FINRA

Current Firm

HARBOR FUNDS DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

HARBOR FUNDS DISTRIBUTORS, INC.

TRUST BUT VERIFY

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