JK
John J. Kosmer
SEQUOIA WEALTH MANAGEMENT
APPLETON, WI 54915
Some features on this profile are disabled
CRD#: 3185064
JK
Professional summary
John James Kosmer is a registered financial advisor currently at SEQUOIA WEALTH MANAGEMENT, LLC located in Appleton, Wisconsin and LPL FINANCIAL LLC located in Appleton, Wisconsin.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. John has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 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) 02/15/2013: REGENCY WEALTH MANAGEMENT, LLC - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) (2) 06/05/2015: SEQUOIA WEALTH MANAGEMENT, LLC - INV REL - AT REPORTED BUSIENSS LOCATION(S) - REGISTERED INVESTMENT ADVISOR HYBRID: (HYBRID) SEQUOIA WEALTH MANAGEMENT, LLC - START 04/15/2015 - 600 HR/MO 6 DURING SECS TRDG HRS - INVESTMENT ADVISER REPRESENTATIVE (3) 06/05/2015: SEQUOIA WEALTH MANAGEMENT, LLC - INV REL - AT REPORTED BUSINESS LOCATIONS(S) - REGISTERED INVESTMENT ADVISOR DBA: (HYBRID) REGENCY WEALTH MANAGEMENT - START 04/15/2015 - 600 HR/MO 6 DURING SECS TRDG HRS - INVESTMENT ADVISER REPRESENTATIVE (4) 06/24/2015 - MIDWEST BENEFITS EXCHANGE, LLC - INV REL - 07/01/2015 - NON-VARIABLE INSURANCE - 2 HRS/MO DURING SECS TRDG HRS. (5) 6/25/2015 - Midwest Benefits Exchange, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/01/2015 - 40 Hours Per Month/2 Hours During Securities Trading. (6) 7/10/2019 - Sequoia Financial Network - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 04/22/2014 - 15 Hours Per Month/10 Hours During Securities Trading - Life, Fixed Annuities, Long-Term Care. (7) 12/23/2020 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary - Started 07/31/2008 - 1 Hour Per Month During Securities Trading - State of Wisconsin Notary. (8) 09/19/2022 - JJK & AMR, LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 04/24/2022 - 1 Hours Per Month/1 Hours During Securities Trading. (9) 09/2009 LPL Financial - Investment Related - Broker Dealer - Registered Representative - Since 09/2009
CRS (Client Relationship Summary) - RIA
Click below to view John James Kosmer'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
April 3, 2015 - Present
SEQUOIA WEALTH MANAGEMENT, LLC
Office #1: 201 S. Riverheath Way Evergreen Building Suite 1400, Appleton, WI 54915RIA
CRD#: 170543
APPLETON, WI
Current
September 8, 2009 - Present
LPL FINANCIAL LLC
Office #1: 201 S Riverheath Way Ste 1400 Evergreen Building, Appleton, WI 54915-8505RIA
BD
CRD#: 6413
Appleton, WI
Past
June 27, 2025 - June 30, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
March 23, 2015 - March 4, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
February 15, 2005 - September 8, 2009
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
APPLETON, WI
Past
May 7, 2003 - March 11, 2004
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
February 17, 1999 - May 15, 2003
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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".
SW
SEQUOIA WEALTH MANAGEMENT, LLC
ADVANTAGE FINANCIAL SERVICES GROUP | SEQUOIA WEALTH MANAGEMENT, LLC | SEQUOIA WEALTH MANAGEMENT | SEQUOIA FINANCIAL PLANNING | REGENCY WEALTH MANAGEMENT | PLANSMART FINANCIAL SERVICES | PEGASUS WEALTH STRATEGIES | ODE FINANCIAL SERVICES | MOONEY LYONS FINANCIAL SERVICES | MOONEY LYONS | JPV FINANCIAL | JMC WEALTH MANAGEMENT | IRONWOOD FAMILY WEALTH ADVISORS | DEB FINANCIAL | CPM FINANCIAL SERVICES | ANDERSON INVESTMENT CONSULTING & SERVICES | AMBASSADOR CONSULTING AND WEALTH MANAGEMENT
CRD#: 170543 / SEC#: 801-80362
RIA
Registered Investment Advisory firm - (10/1/2014 Approved)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(8/27/2013)
RR
California(6/19/2014)
RR
Colorado(1/6/2019)
RR
Florida(9/1/2017)
RR
Georgia(9/1/2017)
RR
Illinois(1/6/2019)
RR
Indiana(1/6/2019)
RR
Iowa(8/17/2020)
RR
Kansas(4/15/2021)
RR
Minnesota(1/23/2015)
RR
Mississippi(4/30/2021)
RR
Missouri(2/11/2018)
RR
Nevada(4/15/2021)
RR
New Mexico(5/17/2021)
RR
Ohio(9/1/2017)
RR
Pennsylvania(4/15/2021)
RR
Texas(6/19/2014)
RR
Virginia(6/19/2014)
RR
Washington(6/19/2014)
RR
Wisconsin(9/8/2009)
IAR
Wisconsin(4/3/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SEQUOIA WEALTH MANAGEMENT, LLC
ADVANTAGE FINANCIAL SERVICES GROUP | SEQUOIA WEALTH MANAGEMENT, LLC | SEQUOIA WEALTH MANAGEMENT | SEQUOIA FINANCIAL PLANNING | REGENCY WEALTH MANAGEMENT | PLANSMART FINANCIAL SERVICES | PEGASUS WEALTH STRATEGIES | ODE FINANCIAL SERVICES | MOONEY LYONS FINANCIAL SERVICES | MOONEY LYONS | JPV FINANCIAL | JMC WEALTH MANAGEMENT | IRONWOOD FAMILY WEALTH ADVISORS | DEB FINANCIAL | CPM FINANCIAL SERVICES | ANDERSON INVESTMENT CONSULTING & SERVICES | AMBASSADOR CONSULTING AND WEALTH MANAGEMENT
CRD#: 170543 / SEC#: 801-80362
RIA
Registered Investment Advisory firm - (10/1/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
200 Applebee St Suite 208, Barrington, IL 60010
Mailing Address
Phone number
(847) 310-5900
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,698 |
| AUM (Assets Under Management) | $ 514,331,206 |
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.
