Marty J. Kozack
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Marty Joseph Kozack, who also goes by Marty Kozack, was a registered financial professional .
Marty is a previously registered financial professional and started their career in finance in 2002. Marty had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2024 - September 16, 2025
EMPOWER ADVISORY GROUP, LLC
March 9, 2024 - September 16, 2025
EMPOWER FINANCIAL SERVICES, INC.
April 15, 2021 - July 26, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 11, 2021 - July 25, 2022
FIDELITY BROKERAGE SERVICES LLC
September 26, 2019 - March 1, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 2019 - March 1, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 7, 2008 - January 22, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 2008 - January 22, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 18, 2004 - January 2, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 11, 2003 - January 2, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 25, 2002 - October 29, 2003
J.P. TURNER & COMPANY, L.L.C.
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
