Raymond J. Kozicki

MIDWEST FINANCIAL NETWORK

Tinley Park, IL 60477

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CRD#: 4990749

Professional summary

Raymond Joseph Kozicki, who also goes by Ray Kozicki, is a registered financial advisor currently at MIDWEST FINANCIAL NETWORK, LLC located in Tinley Park, Illinois.

Raymond is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Raymond has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ray Kozicki

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.

2009-Present: Insurance Agent/Insurance Related/Tinley Park, IL/Independent Insurance Agent/Provide insurance sales and services via unaffiliated issuers and agencies/Involves up to 20% time each month, including during traditional business hours.//

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Joseph Kozicki'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 7, 2019 - Present

MIDWEST FINANCIAL NETWORK, LLC

Office #1: 17244 Oak Park Avenue, Tinley Park, IL 60477

RIA

CRD#: 302095

Tinley Park, IL

Past

August 30, 2017 - June 12, 2019

EVERGREEN CAPITAL MANAGEMENT INC

RIA

CRD#: 104670

chicago, IL

Past

March 16, 2015 - August 24, 2017

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

CHICAGO, IL

Past

September 9, 2014 - March 5, 2015

FIRST ADVISORS NATIONAL, LLC

RIA

CRD#: 166212

TINLEY PARK, IL

Past

January 6, 2009 - February 24, 2009

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

WHEATON, IL

Past

October 18, 2005 - February 24, 2009

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

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".

MIDWEST FINANCIAL NETWORK, LLC

MIDWEST FINANCIAL NETWORK | MIDWEST FINANCIAL NETWORK, LLC

CRD#: 302095 / SEC#: 801-131367

RIA

Registered Investment Advisory firm - (10/25/2024 Approved)

Illinois

Registered Investment Advisory firm - (10/25/2024 Terminated)

Indiana

Registered Investment Advisory firm - (11/1/2024 Terminated)

Iowa

Registered Investment Advisory firm - (10/25/2024 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

Illinois
(8/7/2019)

IAR

Indiana
(3/23/2022)

IAR

Iowa
(8/16/2019)

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 65

Date: 9/6/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/22/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/17/2005

General Securities Representative Examination

Current Firm

MIDWEST FINANCIAL NETWORK, LLC

MIDWEST FINANCIAL NETWORK | MIDWEST FINANCIAL NETWORK, LLC

CRD#: 302095 / SEC#: 801-131367

RIA

Registered Investment Advisory firm - (10/25/2024 Approved)

Illinois

Registered Investment Advisory firm - (10/25/2024 Terminated)

Indiana

Registered Investment Advisory firm - (11/1/2024 Terminated)

Iowa

Registered Investment Advisory firm - (10/25/2024 Terminated)

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Contact information

Main Address

17244 Oak Park Avenue, Tinley Park, IL 60477

Mailing Address

Phone number

(708) 670-3083

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MIDWEST FINANCIAL NETWORK FORM ADV PART 2A - 20251011 (10/11/2025)

Regulatory assets under management

Total Number of Accounts	490
AUM (Assets Under Management)	$ 108,347,505

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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Advisor Monitoring

Firm Stability Insights

Raymond J. Kozicki

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Joseph Kozicki's CRS (Customer Relationship Summary).

Certified licenses

Experience

EVERGREEN CAPITAL MANAGEMENT INC

HORTER INVESTMENT MANAGEMENT, LLC

FIRST ADVISORS NATIONAL, LLC

FIRST TRUST ADVISORS LP

FIRST TRUST PORTFOLIOS L.P.

Primary Firm SEC Registration

MIDWEST FINANCIAL NETWORK, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/6/2014

Series 63

Date: 11/22/2005

Series 7

Date: 10/17/2005

Current Firm

MIDWEST FINANCIAL NETWORK, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MIDWEST FINANCIAL NETWORK, LLC

TRUST BUT VERIFY

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