Ryan A. Kotys

KOTYS WEALTH PROFESSIONALS

Valparaiso, IN 46383

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CRD#: 4634940

Professional summary

Ryan Allen Kotys, who also goes by Ryan Kotys, is a registered financial advisor currently at KOTYS WEALTH PROFESSIONALS located in Valparaiso, Indiana.

Ryan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Ryan has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ryan 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Allen Kotys'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

November 1, 2013 - Present

KOTYS WEALTH PROFESSIONALS

Office #1: 1111 Glendale Blvd Suite 105, Valparaiso, IN 46383

RIA

CRD#: 168156

Valparaiso, IN

Past

December 4, 2013 - December 31, 2015

GRADIENT SECURITIES, LLC

CRD#: 127701

VALPARAISO, IN

Past

October 7, 2011 - November 25, 2013

LPL FINANCIAL LLC

CRD#: 6413

VALPARAISO, IN

Past

September 19, 2011 - November 25, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

VALPARAISO, IN

Past

March 24, 2009 - February 1, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

VALPARAISO, IN

Past

February 16, 2009 - February 1, 2010

LPL FINANCIAL LLC

CRD#: 6413

VALPARAISO, IN

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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)

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

IAR

Series 66

Date: 3/21/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/13/2009

General Securities Representative Examination

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)

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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

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/16/2025)

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.

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Firm Stability Insights

Ryan A. Kotys

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Allen Kotys's CRS (Customer Relationship Summary).

Certified licenses

Experience

GRADIENT SECURITIES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

KOTYS WEALTH PROFESSIONALS

State Registrations and Notice Filings

Exams

Series 66

Date: 3/21/2009

SIE

Date: 12/31/2015

Series 7

Date: 2/13/2009

Current Firm

KOTYS WEALTH PROFESSIONALS

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KOTYS WEALTH PROFESSIONALS

TRUST BUT VERIFY

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