James P. Kozak
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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Patrick Kozak's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 16, 2017 - Present
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
Office #1: 5202 Old Orchard Road Suite 250, Skokie, IL 60077November 15, 2017 - Present
UHLMANN PRICE SECURITIES, LLC
Office #1: 5202 Old Orchard Road Suite 250, Skokie, IL 60077October 12, 2015 - October 4, 2017
ROBERTSON STEPHENS ADVISORS
October 12, 2015 - October 4, 2017
ROBERTSON STEPHENS SECURITIES
January 17, 2013 - September 30, 2015
ROTH CAPITAL PARTNERS, LLC
January 17, 2013 - September 30, 2015
ROTH CAPITAL PARTNERS, LLC
June 23, 2005 - November 20, 2012
ADVANCED EQUITIES, INC.
June 23, 2005 - November 20, 2012
ADVANCED EQUITIES, INC.
April 11, 2003 - June 20, 2005
CERTES CAPITAL SECURITIES, LLC
December 20, 2002 - April 27, 2006
HEDEKER WEALTH LLC
September 24, 2002 - February 18, 2003
ADVANCED EQUITIES, INC.
November 29, 1999 - February 18, 2003
ADVANCED EQUITIES, INC.
July 7, 1995 - December 2, 1999
MADISON SECURITIES, INC.
May 31, 1994 - June 13, 1995
LEXINGTON SECURITIES, INC.
June 17, 1992 - May 31, 1994
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
CRD#: 118025 / SEC#: 801-113188
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/27/2022)
(11/16/2017)
(4/24/2018)
(11/17/2017)
(12/11/2017)
(11/22/2017)
(11/16/2017)
(11/16/2017)
(9/20/2022)
(9/15/2022)
(9/15/2022)
(9/19/2022)
(10/5/2018)
(9/16/2022)
(9/27/2022)
(6/10/2022)
(9/27/2022)
(4/5/2019)
(3/20/2018)
(1/4/2019)
(11/24/2025)
(12/12/2018)
(11/20/2017)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
CRD#: 118025 / SEC#: 801-113188
Contact information
SEC notice filing (30 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 460 |
| AUM (Assets Under Management) | $ 273,182,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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