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CC

Christopher J. Cocozza

A&M PRIVATE WEALTH PARTNERS
WEST PALM BEACH, FL 33401
Some features on this profile are disabled
CRD#: 5203064
CC

Professional summary

Christopher James Cocozza, CIMA®, who also goes by Chris Cocozza, is a registered financial advisor currently at A&M PRIVATE WEALTH PARTNERS, LLC located in West Palm Beach, Florida.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Christopher has worked at 5 firms and has passed the Series 66, Series 3, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Chris Cocozza

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 Christopher James Cocozza'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®
CIMA®

Certified Investment Management Analyst

Experience

Current

March 17, 2025 - Present

A&M PRIVATE WEALTH PARTNERS, LLC

Office #1: 300 Banyan Blvd 10th Floor, West Palm Beach, FL 33401
RIA
CRD#: 331478
WEST PALM BEACH, FL
Past

May 21, 2019 - August 22, 2024

INTERACTIVE BROKERS CORP.

BD
CRD#: 117942
GREENWICH, CT
Past

August 17, 2010 - April 9, 2018

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
STAMFORD, CT
Past

August 6, 2010 - April 9, 2018

CLEARBRIDGE INVESTMENTS, LLC

RIA
CRD#: 137028
NEW YORK, NY
Past

October 11, 2007 - August 12, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
WHITE PLAINS, NY
Past

September 17, 2007 - August 12, 2008

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
WHITE PLAINS, NY

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".
AP
A&M PRIVATE WEALTH PARTNERS, LLC
A&M PRIVATE WEALTH PARTNERS | AMPWP LLC | AMPWP | ALVAREZ & MARSAL PRIVATE WEALTH PARTNERS LLC | ALVAREZ & MARSAL PRIVATE WEALTH PARTNERS | A&M PRIVATE WEALTH PARTNERS, LLC

CRD#: 331478 / SEC#: 801-130473

RIA
Registered Investment Advisory firm - (6/14/2024 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.

Highlighted states indicate IAR registrations

IAR
Florida
(3/17/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/10/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 6/17/2019
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 4/9/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/14/2007
General Securities Representative Examination

Current Firm

AP
A&M PRIVATE WEALTH PARTNERS, LLC
A&M PRIVATE WEALTH PARTNERS | AMPWP LLC | AMPWP | ALVAREZ & MARSAL PRIVATE WEALTH PARTNERS LLC | ALVAREZ & MARSAL PRIVATE WEALTH PARTNERS | A&M PRIVATE WEALTH PARTNERS, LLC

CRD#: 331478 / SEC#: 801-130473

RIA
Registered Investment Advisory firm - (6/14/2024 Approved)
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Contact information

Main Address
300 Banyan Blvd 10th Floor, West Palm Beach, FL 33401
Mailing Address
Phone number
(561) 268-0900
Established
Firm type
Fiscal year end
# of Employees
21

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AMPWM FORM ADV PART 2A BROCHURE (7/2/2025)

Regulatory assets under management

Total Number of Accounts150
AUM (Assets Under Management)$ 1,566,202,969

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.

Company Information

A&M PRIVATE WEALTH PARTNERS, LLC

CRD#: 331478West Palm Beach, FL 33401

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