JK
James P. Kozak
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
Skokie, IL 60077
Some features on this profile are disabled
CRD#: 2237880
JK
Professional summary
James Patrick Kozak is a registered financial advisor currently at UHLMANN INVESTMENT MANAGEMENT, L.L.C. located in Skokie, Illinois and UHLMANN PRICE SECURITIES, LLC located in Skokie, Illinois.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. James has worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 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) Uhlmann Investment Management LLC,303 W State St, Suite 1700Chicago, IL 60606 INVESTMENT ADVISOR - START DATE 11/2017. 95/5 PERCENT SPLIT BETWEEN BROKERAGE DEALER AND RIA SIDE OF BUSINESS, advisory fees based on AUM (2) Empire Group LLC, 6617 N Scottsdale Rd Ste 101, Scottsdale AZ, real estate , started 2009. Entered into consulting agreement July 2024- Institutional fund raising strategies. (3) OnPoint Analytics Capital Partners, 661 San Luis Rd, Berkeley CA, advisory firm, Co Founder & managing partner, sourcing & introducing alternative investments, 100% of the time, all compensation paid through BD Uhlmann Price (4) Kovitz Investment Group, 115 S LaSalle, 27th Fl, Chicago, IL. Investment Advisory Firm, referral source only, do not hold a title, starting 6/30/2019. 0 hours. Duties, introduce/refer potential investors to their RIA. (5) Waverly AV LLC/Waverly AV Management, LLC: 1200 Brickell Av. Suite 800, Miami FL 33131. Waverly AV LLC is a travel nursing staffing business, owned/managed by Waverly AV Management, LLC. Board Member 7/2025. Non-investment related. Dedicating around 4 hours a month. (6) Kozak Capital Group, 526 Woodland Drive, Glenview, IL. Owner/Operator. Real-Estate focused investments. Start 11/1/2025. Dedicating 20 hours per week.
CRS (Client Relationship Summary) - RIA
Click below to view James Patrick Kozak'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®
NoneExperience
Current
November 16, 2017 - Present
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
Office #1: 5202 Old Orchard Road Suite 250, Skokie, IL 60077RIA
CRD#: 118025
Skokie, IL
Current
November 15, 2017 - Present
UHLMANN PRICE SECURITIES, LLC
Office #1: 5202 Old Orchard Road Suite 250, Skokie, IL 60077BD
CRD#: 42854
Skokie, IL
Past
October 12, 2015 - October 4, 2017
ROBERTSON STEPHENS ADVISORS
RIA
CRD#: 166736
SAN FRANCISCO, CA
Past
October 12, 2015 - October 4, 2017
ROBERTSON STEPHENS SECURITIES
BD
CRD#: 167704
Chicago, IL
Past
January 17, 2013 - September 30, 2015
ROTH CAPITAL PARTNERS, LLC
RIA
CRD#: 15407
CHICAGO, IL
Past
January 17, 2013 - September 30, 2015
ROTH CAPITAL PARTNERS, LLC
BD
CRD#: 15407
CHICAGO, IL
Past
June 23, 2005 - November 20, 2012
ADVANCED EQUITIES, INC.
RIA
CRD#: 35545
CHICAGO, IL
Past
June 23, 2005 - November 20, 2012
ADVANCED EQUITIES, INC.
BD
CRD#: 35545
CHICAGO, IL
Past
April 11, 2003 - June 20, 2005
CERTES CAPITAL SECURITIES, LLC
BD
CRD#: 124392
DEERFIELD, IL
Past
December 20, 2002 - April 27, 2006
HEDEKER WEALTH LLC
RIA
CRD#: 124341
DEERFIELD, IL
Past
September 24, 2002 - February 18, 2003
ADVANCED EQUITIES, INC.
RIA
CRD#: 35545
CHICAGO, IL
Past
November 29, 1999 - February 18, 2003
ADVANCED EQUITIES, INC.
BD
CRD#: 35545
CHICAGO, IL
Past
July 7, 1995 - December 2, 1999
MADISON SECURITIES, INC.
BD
CRD#: 32176
CHICAGO, IL
Past
May 31, 1994 - June 13, 1995
LEXINGTON SECURITIES, INC.
BD
CRD#: 13102
CHICAGO, IL
Past
June 17, 1992 - May 31, 1994
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
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".
UI
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
PERPETUAL WEALTH MANAGEMENT | UHLMANN INVESTMENT MANAGEMENT, LLC | UHLMANN INVESTMENT MANAGEMENT, L.L.C. | UHLMANN INVESTMENT MANAGEMENT, L.L.C.
CRD#: 118025 / SEC#: 801-113188
RIA
Registered Investment Advisory firm - (5/7/2018 Approved)Arizona
Registered Investment Advisory firm - (8/15/2017 Approved)Georgia
Registered Investment Advisory firm - (7/28/2017 Terminated)Illinois
Registered Investment Advisory firm - (5/7/2018 Terminated)Indiana
Registered Investment Advisory firm - (11/18/2014 Terminated)Louisiana
Registered Investment Advisory firm - (11/18/2014 Terminated)Michigan
Registered Investment Advisory firm - (8/1/2017 Terminated)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
Arizona(9/27/2022)
RR
California(11/16/2017)
RR
Colorado(4/24/2018)
RR
Connecticut(11/17/2017)
RR
District of Columbia(12/11/2017)
RR
Florida(11/22/2017)
RR
Illinois(11/16/2017)
IAR
Illinois(11/16/2017)
RR
Louisiana(9/20/2022)
RR
Maine(9/15/2022)
RR
Maryland(9/15/2022)
RR
Massachusetts(9/19/2022)
RR
Michigan(10/5/2018)
RR
Minnesota(9/16/2022)
RR
Nevada(9/27/2022)
RR
New Jersey(6/10/2022)
RR
New York(9/27/2022)
RR
Ohio(4/5/2019)
RR
Pennsylvania(3/20/2018)
RR
Texas(1/4/2019)
RR
Washington(12/12/2018)
RR
Wisconsin(11/20/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UI
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
PERPETUAL WEALTH MANAGEMENT | UHLMANN INVESTMENT MANAGEMENT, LLC | UHLMANN INVESTMENT MANAGEMENT, L.L.C. | UHLMANN INVESTMENT MANAGEMENT, L.L.C.
CRD#: 118025 / SEC#: 801-113188
RIA
Registered Investment Advisory firm - (5/7/2018 Approved)Arizona
Registered Investment Advisory firm - (8/15/2017 Approved)Georgia
Registered Investment Advisory firm - (7/28/2017 Terminated)Illinois
Registered Investment Advisory firm - (5/7/2018 Terminated)Indiana
Registered Investment Advisory firm - (11/18/2014 Terminated)Louisiana
Registered Investment Advisory firm - (11/18/2014 Terminated)Michigan
Registered Investment Advisory firm - (8/1/2017 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
5202 Old Orchard Road Suite 250, Skokie, IL 60077
Mailing Address
Phone number
(312) 264-4400
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (24 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 321 |
| AUM (Assets Under Management) | $ 241,656,376 |
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.
