Michael Anthony Cozzi
Professional Summary
Michael Anthony Cozzi is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
BCA SECURITIES, INC. | HCA SECURITIES, INC. | HARBOR FUNDS DISTRIBUTORS, INC.
Contact Information
Main Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606Mailing Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606Phone Number
(312) 443-4420Established
Delaware since 02/21/2001Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(3/17/2020)
(3/18/2020)
(3/20/2020)
(3/17/2020)
(3/6/2020)
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(3/24/2020)
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(3/20/2020)
(3/17/2020)
(3/6/2020)
(3/16/2020)
(3/5/2020)
(3/17/2020)
(3/12/2020)
(3/6/2020)
(3/17/2020)
(3/16/2020)
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(3/24/2020)
(3/17/2020)
(3/9/2020)
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(3/16/2020)
(3/18/2020)
(3/6/2020)
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(3/23/2020)
(3/6/2020)
(3/23/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1991About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Anthony Cozzi's CRS (Customer Relationship Summary).
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