John E. Mozola

WINDSOR ADVISORY GROUP

Columbus, OH 43215

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CRD#: 5510992

Professional summary

John Eugene Mozola is a registered financial advisor currently at WINDSOR ADVISORY GROUP, LLC located in Columbus, Ohio.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. John has worked at 2 firms and has passed the Series 7 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 John Eugene Mozola'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

July 18, 2017 - Present

WINDSOR ADVISORY GROUP, LLC

Office #1: 300 Marconi Blvd. Suite 304, Columbus, OH 43215

RIA

CRD#: 122266

Columbus, OH

Past

July 1, 2008 - May 21, 2013

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

CLEVELAND, OH

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".

WINDSOR ADVISORY GROUP, LLC

WINDSOR ADVISORY GROUP, LLC | WINDSOR INVESTMENT ADVISERS, LLC

CRD#: 122266 / SEC#: 801-61372

RIA

Registered Investment Advisory firm - (8/8/2002 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

Ohio
(7/18/2017)

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

General Industry/Product Exam

Series 7

Date: 6/30/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/9/2013

General Securities Sales Supervisor - General Module Examination

Current Firm

WINDSOR ADVISORY GROUP, LLC

WINDSOR ADVISORY GROUP, LLC | WINDSOR INVESTMENT ADVISERS, LLC

CRD#: 122266 / SEC#: 801-61372

RIA

Registered Investment Advisory firm - (8/8/2002 Approved)

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Contact information

Main Address

2130 Quarry Trails Dr 1st Floor, Columbus, OH 43228

Mailing Address

Phone number

(614) 545-0300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WINDSOR ADVISORY ADV PART 2A AA 3.27.2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,558
AUM (Assets Under Management)	$ 2,582,151,903

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/21/2024	Cover Page	Report
01/25/2024	Cover Page	Report
10/18/2022	Cover Page	Report

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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John E. Mozola

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Eugene Mozola's CRS (Customer Relationship Summary).

Certified licenses

Experience

WINDSOR ADVISORY GROUP, LLC

SANFORD C. BERNSTEIN & CO., LLC

Primary Firm SEC Registration

WINDSOR ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 7

Date: 6/30/2008

Series 10

Date: 1/9/2013

Current Firm

WINDSOR ADVISORY GROUP, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WINDSOR ADVISORY GROUP, LLC

TRUST BUT VERIFY

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