Wesley M. Kotys
KOTYS WEALTH PROFESSIONALS
Valparaiso, IN 46383
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CRD#: 4051934
Professional summary
Wesley Michael Kotys, CFP®, who also goes by Wes Kotys, is a registered financial advisor currently at KOTYS WEALTH PROFESSIONALS located in Valparaiso, Indiana.
Wesley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Wesley has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Biography
Investment advice is everywhere. Real wealth management solutions are not. At Kotys Wealth Professionals, we are all about that vital difference - we are here to work with you over the long term, taking care of the assets you entrust to us, minimizing your risks and assuring your future.
Risk management based upon your objectives is where we excel. We select the disciplined investment strategies that are right for your financial objectives, risk tolerance, and personal preferences – and we monitor your portfolio continuously to keep your financial plan on track.
You will find our investment process to be logical, thorough, transparent, holistic and proactive. Here’s a summary of our disciplined/rules-based investment process:
We will run fundamental and technical analyses with the goal of managing risk and deploying capital into the areas of the market with the highest probabilities of future out-performance.
We then narrow our investment options by putting them all into a tournament and see which come out the strongest.
We do not believe that you have to be invested 100% of the time in the market. Sometimes alternatives, including cash, offer better opportunities. Avoiding severe losses is as much part of the plan as achieving strong market performance.
We monitor positions regularly and make adjustments as necessary to help achieve your goals.
Question & Answer
What are your service offerings?
Retirement Income Management
Investment Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Estate Planning
Retirement Planning
Insurance Planning
Do you have an area of expertise or specialization?
Business Owners
Corporate Executives
High Net Worth Client Needs
Medical Professionals
Retirement Plan Investment Adv...
Retirement Planning & Distribu...
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
Wes Kotys
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.
Bison Creek Farm; not investment-related; 1059 N 550 E, Westville, IN 46391; real estate investment property; owner; started 11/2022; approximately 4 hours per month, all during securities trading hours; oversight of farm.
CRS (Client Relationship Summary) - RIA
Click below to view Wesley Michael Kotys'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®
CFP®
Start date: 2016
Experience
Current
November 1, 2013 - Present
KOTYS WEALTH PROFESSIONALS
Office #1: 1111 Glendale Blvd Suite 105, Valparaiso, IN 46383RIA
CRD#: 168156
Valparaiso, IN
Past
November 22, 2013 - December 31, 2015
GRADIENT SECURITIES, LLC
BD
CRD#: 127701
VALPARAISO, IN
Past
June 15, 2007 - November 25, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
VALPARAISO, IN
Past
June 15, 2007 - November 25, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
VALPARAISO, IN
Past
February 27, 2007 - June 18, 2007
EDWARD JONES
RIA
CRD#: 250
VALPARAISO, IN
Past
December 16, 2003 - June 18, 2007
EDWARD JONES
BD
CRD#: 250
VALPARAISO, IN
Past
November 14, 2001 - December 15, 2003
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
VALPARAISO, IN
Past
March 28, 2001 - December 15, 2003
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
February 2, 2001 - March 7, 2001
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
December 7, 1999 - January 13, 2000
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
KOTYS WEALTH PROFESSIONALS
KOTYS WEALTH PROFESSIONALS | TKG ADVISORS, LLC | THE KOTYS GROUP
CRD#: 168156 / SEC#: 801-118738
RIA
Registered Investment Advisory firm - (5/15/2020 Approved)Alaska
Registered Investment Advisory firm - (10/7/2020 Terminated)Arizona
Registered Investment Advisory firm - (7/8/2020 Terminated)Illinois
Registered Investment Advisory firm - (5/15/2020 Terminated)Indiana
Registered Investment Advisory firm - (7/9/2020 Terminated)Michigan
Registered Investment Advisory firm - (7/8/2020 Terminated)Texas
Registered Investment Advisory firm - (7/8/2020 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.Highlighted states indicate IAR registrations
IAR
Indiana(11/1/2013)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
KOTYS WEALTH PROFESSIONALS
KOTYS WEALTH PROFESSIONALS | TKG ADVISORS, LLC | THE KOTYS GROUP
CRD#: 168156 / SEC#: 801-118738
RIA
Registered Investment Advisory firm - (5/15/2020 Approved)Alaska
Registered Investment Advisory firm - (10/7/2020 Terminated)Arizona
Registered Investment Advisory firm - (7/8/2020 Terminated)Illinois
Registered Investment Advisory firm - (5/15/2020 Terminated)Indiana
Registered Investment Advisory firm - (7/9/2020 Terminated)Michigan
Registered Investment Advisory firm - (7/8/2020 Terminated)Texas
Registered Investment Advisory firm - (7/8/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1111 Glendale Blvd Suite 105, Valparaiso, IN 46383
Mailing Address
Phone number
(219) 465-6924
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 862 |
| AUM (Assets Under Management) | $ 272,141,077 |
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.
