Frank E. Kautzky

CHICAGO OAKBROOK FINANCIAL GROUP

OAK BROOK, IL 60523

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CRD#: 3253349

Professional summary

Frank Edward Kautzky, AIF®, ChFC®, CIMA®, who also goes by Frank E Kautzky, is a registered financial advisor currently at CHICAGO OAKBROOK FINANCIAL GROUP located in Oak Brook, Illinois.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Frank has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank E Kautzky

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.

Owner & President, KPW Holdings, Inc.; a private entity established for tax purposes & RIA ownership; as of 8/22/2024; 1% time spent during business hours; Conducted at branch; Investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Edward Kautzky's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

ChFC^®

Chartered Financial Consultant

CIMA^®

Certified Investment Management Analyst

Experience

Current

December 10, 2024 - Present

CHICAGO OAKBROOK FINANCIAL GROUP

Office #1: 903 Commerce Drive, Suite 300, Oak Brook, IL 60523

RIA

CRD#: 333344

OAK BROOK, IL

Past

January 2, 2008 - December 31, 2024

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

OAKBROOK, IL

Past

December 4, 2007 - December 31, 2024

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

OAKBROOK, IL

Past

January 3, 2000 - August 27, 2007

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

OAKBROOK, IL

Past

July 7, 1999 - August 27, 2007

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

OAKBROOK, IL

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".

CHICAGO OAKBROOK FINANCIAL GROUP

401K TEAM | COFG ADVISORS, LLC | CHICAGO OAKBROOK FINANCIAL GROUP

CRD#: 333344 / SEC#: 801-131428

RIA

Registered Investment Advisory firm - (11/6/2024 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.

Highlighted states indicate IAR registrations

IAR

Illinois
(12/10/2024)

IAR

Texas
(12/10/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/6/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/27/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/4/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/6/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 2/27/2008

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/12/2007

General Securities Principal Examination

Current Firm

CHICAGO OAKBROOK FINANCIAL GROUP

401K TEAM | COFG ADVISORS, LLC | CHICAGO OAKBROOK FINANCIAL GROUP

CRD#: 333344 / SEC#: 801-131428

RIA

Registered Investment Advisory firm - (11/6/2024 Approved)

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Contact information

Main Address

903 Commerce Drive, Suite 300, Oak Brook, IL 60523

Mailing Address

Phone number

(630) 954-5572

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 ADV PART 2 BROCHURE (10/1/2025)

Regulatory assets under management

Total Number of Accounts	1,116
AUM (Assets Under Management)	$ 907,280,235

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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Advisor Monitoring

Firm Stability Insights

Frank E. Kautzky

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Edward Kautzky's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

CHICAGO OAKBROOK FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/1999

Series 63

Date: 7/27/1999

SIE

Date: 10/1/2018

Series 7

Date: 1/4/2001

Series 6

Date: 7/6/1999

Series 53

Date: 2/27/2008

Series 24

Date: 12/12/2007

Current Firm

CHICAGO OAKBROOK FINANCIAL GROUP

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CHICAGO OAKBROOK FINANCIAL GROUP

TRUST BUT VERIFY

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