KC
Kimberly S. Cozart
CETERA INVESTMENT ADVISERS LLC
CREEDMOOR, NC 27522
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CRD#: 4571648
KC
Professional summary
Kimberly Strouse Cozart, CFP®, who also goes by Kimberly Marie Strouse, Kimberly Strouse Tatum, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Creedmoor, North Carolina and CETERA WEALTH SERVICES, LLC located in Creedmoor, North Carolina.
Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kimberly has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kimberly Marie Strouse | Kimberly Strouse Tatum
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.
1) Capitol Investments NC, LLC~'NIR'~P.O. Box 1070~Creedmoor~NC~27522~Rental Property~Owner~2/25/2016~5hrs~5hrs~Pay bills and manage property 2) ET COMMERCIAL LLC~'NIR'~102 N MAIN ST~CREEDMOOR~NC~27522~Rental Property~Owner~6/24/2010~5hrs~5hrs~Pay bills and collect rent 3) Cozart & Edwards, PA~'NIR'~102 N Main Street~Creedmoor~NC~27522~Accounting Services/Tax Preparation~Other~1/1/1988~100hrs~70hrs~I supervise all of our employees. I prepare taxes and tax projections. I review bookkeeping prepared by my employees and tax returns prepared by my employees. I prepare financial statements for clients. I meet with clients regularly. 4) PREMIER ADVANTAGE REALTY, INC. POSITION: shareholder NATURE: Real Estate Brokerage Firm INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/16/2024 ADDRESS: 2555A CAPITOL DR, Creedmoor NC 27522, United States DESCRIPTION: Pay bills and manage finances
CRS (Client Relationship Summary) - RIA
Click below to view Kimberly Strouse Cozart'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: 2007
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 102 N Main Street, Creedmoor, NC 27522RIA
CRD#: 105644
CREEDMOOR, NC
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 102 North Main St., Creedmoor, NC 27522BD
CRD#: 13572
CREEDMOOR, NC
Past
January 17, 2006 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
CREEDMOOR, NC
Past
October 9, 2002 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
CREEDMOOR, NC
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(9/5/2025)
RR
Missouri(9/5/2025)
RR
New Jersey(9/18/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
IAR
North Carolina(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Virginia(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Creedmoor, NC 27522TRUST BUT VERIFY
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