Theodore R. Wozniak

AMERICAN BEACON ADVISORS

Wayne, PA

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CRD#: 3069587

Professional summary

Theodore Raymond Wozniak Jr., who also goes by Theodore Raymond Wozniak Jr., Theodore Raymond Wozniak, is a registered financial advisor currently at AMERICAN BEACON ADVISORS, INC. located in Wayne, Pennsylvania and RESOLUTE INVESTMENT DISTRIBUTORS, INC. located in Wayne, Pennsylvania.

Theodore is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Theodore has worked at 11 firms and has passed the Series 66, Series 6TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Theodore Raymond Wozniak Jr. | Theodore Raymond Wozniak

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.

Providing sales activities for American Beacon Advisors which is an affiliate of Resolute Investment Distributors, Inc

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Raymond Wozniak Jr.'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

October 8, 2024 - Present

AMERICAN BEACON ADVISORS, INC.

RIA

CRD#: 105552

Wayne, PA

Current

October 8, 2024 - Present

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

CRD#: 287788

Wayne, PA

Past

October 11, 2018 - October 3, 2024

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

August 3, 2016 - October 1, 2018

VICTORY CAPITAL SERVICES, INC.

CRD#: 37059

BROOKLYN, OH

Past

June 2, 2014 - August 8, 2016

RS FUNDS DISTRIBUTOR LLC

CRD#: 165753

VILLANOVA, PA

Past

August 2, 2011 - April 30, 2014

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

January 14, 2009 - June 2, 2014

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

August 10, 2004 - January 12, 2009

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

WAYNE, PA

Past

January 2, 2004 - July 30, 2004

BNY ADVISORS

RIA

CRD#: 106108

MALVERN, PA

Past

December 15, 2003 - July 30, 2004

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

May 2, 2000 - December 15, 2003

LOCKWOOD FINANCIAL SERVICES, INC.

CRD#: 40655

MALVERN, PA

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".

AMERICAN BEACON ADVISORS, INC.

AMERICAN BEACON ADVISORS, INC. | AMR INVESTMENTS | AMR INVESTMENT SERVICES, INC | AMR INVESTMENT

CRD#: 105552 / SEC#: 801-29198

RIA

Registered Investment Advisory firm - (3/10/1987 Approved)

Montana

Registered Investment Advisory firm - (5/7/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Alabama
(10/8/2024)

Alaska
(10/8/2024)

Arizona
(10/8/2024)

Arkansas
(10/8/2024)

California
(10/8/2024)

Colorado
(10/8/2024)

Connecticut
(10/8/2024)

Delaware
(10/8/2024)

District of Columbia
(10/8/2024)

Florida
(10/8/2024)

Georgia
(10/8/2024)

Hawaii
(10/8/2024)

Idaho
(10/8/2024)

Illinois
(10/8/2024)

Indiana
(10/8/2024)

Iowa
(10/8/2024)

Kansas
(10/8/2024)

Kentucky
(10/8/2024)

Louisiana
(10/8/2024)

Maine
(10/8/2024)

Maryland
(10/8/2024)

Massachusetts
(10/8/2024)

Michigan
(10/8/2024)

Minnesota
(10/8/2024)

Mississippi
(10/8/2024)

Missouri
(10/8/2024)

Montana
(10/8/2024)

Nebraska
(10/8/2024)

Nevada
(10/8/2024)

New Hampshire
(10/8/2024)

New Jersey
(10/8/2024)

New Mexico
(10/8/2024)

New York
(10/8/2024)

North Carolina
(10/8/2024)

North Dakota
(10/8/2024)

Ohio
(10/8/2024)

Oklahoma
(10/8/2024)

Oregon
(10/8/2024)

Pennsylvania
(10/8/2024)

Puerto Rico
(10/8/2024)

Rhode Island
(10/8/2024)

South Carolina
(10/8/2024)

South Dakota
(10/8/2024)

Tennessee
(10/8/2024)

Texas
(10/8/2024)

IAR

Texas
(10/8/2024)

Utah
(10/8/2024)

Vermont
(10/8/2024)

Virgin Islands
(10/8/2024)

Virginia
(10/8/2024)

Washington
(10/8/2024)

West Virginia
(10/8/2024)

Wisconsin
(10/8/2024)

Wyoming
(10/8/2024)

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 66

Date: 2/12/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/10/2015

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

AMERICAN BEACON ADVISORS, INC.

AMERICAN BEACON ADVISORS, INC. | AMR INVESTMENTS | AMR INVESTMENT SERVICES, INC | AMR INVESTMENT

CRD#: 105552 / SEC#: 801-29198

RIA

Registered Investment Advisory firm - (3/10/1987 Approved)

Montana

Registered Investment Advisory firm - (5/7/2004 Terminated)

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Contact information

Main Address

220 East Las Colinas Blvd., Suite 1200, Irving, TX 75039-5500

Mailing Address

Phone number

(817) 391-6100

Established

Firm type

Fiscal year end

# of Employees

125

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

AMERICAN BEACON ADVISORS FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	65
AUM (Assets Under Management)	$ 58,789,969,013

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

Theodore R. Wozniak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Raymond Wozniak Jr.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

SEI INVESTMENTS DISTRIBUTION CO.

VICTORY CAPITAL SERVICES, INC.

RS FUNDS DISTRIBUTOR LLC

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BNY ADVISORS

PERSHING LLC

LOCKWOOD FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

AMERICAN BEACON ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/12/1999

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/21/1998

Series 24

Date: 6/10/2015

FINRA

Current Firm

AMERICAN BEACON ADVISORS, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AMERICAN BEACON ADVISORS, INC.

TRUST BUT VERIFY

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