Floyd Ozeck

FAO WEALTH

Boynton Beach, FL

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CRD#: 4488484

Professional summary

Floyd Ozeck is a registered financial advisor currently at FAO WEALTH INC located in Boynton Beach, Florida.

Floyd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Floyd has worked at 3 firms and has passed the Series 63, Series 65, 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.

FLOYD OZECK CPA - CERTIFIED PUBLIC ACCOUNTANT - 160 HOURS PER MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Floyd Ozeck'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®

None

Experience

Current

August 1, 2025 - Present

FAO WEALTH INC

RIA

CRD#: 335746

Boynton Beach, FL

Past

February 11, 2003 - August 20, 2025

CFS SECURITIES, INC.

CRD#: 46201

Shelton, CT

Past

January 7, 2002 - August 20, 2025

COOPER FINANCIAL SERVICES, INC.

RIA

CRD#: 104671

Boynton Beach, FL

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

Connecticut
(9/3/2025)

IAR

Florida
(8/1/2025)

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.

Exams

State Security Law Exam

Series 63

Date: 7/3/2003

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/9/2001

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/29/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FAO WEALTH INC

CRD#: 335746 / SEC#: 801-132781

RIA

Registered Investment Advisory firm - (5/14/2025 120-Day Approval)

Connecticut

Registered Investment Advisory firm - (10/28/2025 Approved)

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Contact information

Main Address

55 Merritt Blvd, Trumbull, CT 06611

Mailing Address

Phone number

(203) 248-3076

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A/2B (9/3/2025)

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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Floyd Ozeck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Floyd Ozeck's CRS (Customer Relationship Summary).

Certified licenses

Experience

FAO WEALTH INC

CFS SECURITIES, INC.

COOPER FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/3/2003

Series 65

Date: 11/9/2001

SIE

Date: 10/1/2018

Series 6

Date: 1/29/2003

Current Firm

FAO WEALTH INC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

FAO WEALTH INC

TRUST BUT VERIFY

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