Zbynek Kozelsky
Professional Summary
Zbynek Kozelsky is a registered financial advisor currently at ASHTON THOMAS SECURITIES, LLC located in New York, New York. Zbynek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Zbynek has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
ASHTON THOMAS SECURITIES, LLC | LANZISERA, JOSEPH ANTHONY | EXCEL SECURITIES & ASSOCIATES,INC. | EXCEL SECURITIES & ASSOCIATES, INC. | EXCEL SECURITIES & ASSOCIATES | EXCEL SECURITIES | ERB FINANCIAL SERVICES | CHEEVERS HAND & ANGELINE LLC
Contact Information
Main Address
100 Meridian Centre Blvd Suite 250, Rochester, NY 14618Mailing Address
100 Meridian Centre Blvd Suite 250, Rochester, NY 14618Phone Number
(602) 732-4745Established
Delaware since 01/08/2024Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
46SEC notice filing (46 States and Territories)
Registered to provide investment advisory services in 46 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 46 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
2,282AUM (Assets Under Management)
$1,859,651,619Disclosures
Regulatory Event
4Arbitration
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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.
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Primary Firm SEC Registration
ASHTON THOMAS SECURITIES, LLC | LANZISERA, JOSEPH ANTHONY | EXCEL SECURITIES & ASSOCIATES,INC. | EXCEL SECURITIES & ASSOCIATES, INC. | EXCEL SECURITIES & ASSOCIATES | EXCEL SECURITIES | ERB FINANCIAL SERVICES | CHEEVERS HAND & ANGELINE LLC
State Registrations and Notice Filings
(4/23/2025)
(5/13/2025)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2004About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Oct 2003About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Zbynek Kozelsky's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Zbynek Kozelsky's CRS (Customer Relationship Summary).
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