Christopher Kozak

KOZAK & TRIPP PRIVATE ASSET MANAGEMENT

Highlands Ranch, CO 80129

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CRD#: 5530806

Professional summary

Christopher Kozak is a registered financial advisor currently at KOZAK & TRIPP PRIVATE ASSET MANAGEMENT, INC. located in Highlands Ranch, Colorado.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Christopher has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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 Christopher Kozak'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

September 7, 2018 - Present

KOZAK & TRIPP PRIVATE ASSET MANAGEMENT, INC.

Office #1: 1805 Shea Center Drive Suite 280, Highlands Ranch, CO 80129

RIA

CRD#: 298353

Highlands Ranch, CO

Past

July 29, 2011 - October 11, 2018

CETERA ADVISORS LLC

RIA

CRD#: 10299

HIGHLANDS RANCH, CO

Past

November 24, 2008 - October 11, 2018

CETERA ADVISORS LLC

CRD#: 10299

HIGHLANDS RANCH, CO

Past

August 26, 2008 - November 14, 2008

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

DENVER, CO

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".

KOZAK & TRIPP PRIVATE ASSET MANAGEMENT, INC.

KOZAK & ASSOCIATES, INC. | KOZAK TRIPP | KOZAK & TRIPP PRIVATE ASSET MANAGEMENT, INC.

CRD#: 298353 / SEC#: 801-113934

RIA

Registered Investment Advisory firm - (9/6/2018 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

Colorado
(9/7/2018)

IAR

Texas
(9/7/2018)

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: 7/21/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/5/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/27/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/25/2008

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KOZAK & TRIPP PRIVATE ASSET MANAGEMENT, INC.

KOZAK & ASSOCIATES, INC. | KOZAK TRIPP | KOZAK & TRIPP PRIVATE ASSET MANAGEMENT, INC.

CRD#: 298353 / SEC#: 801-113934

RIA

Registered Investment Advisory firm - (9/6/2018 Approved)

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Contact information

Main Address

1805 Shea Center Drive Suite 280, Highlands Ranch, CO 80129

Mailing Address

Phone number

(303) 847-4045

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (2/19/2025)

Regulatory assets under management

Total Number of Accounts	2,230
AUM (Assets Under Management)	$ 706,484,491

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

Christopher Kozak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Kozak's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

Primary Firm SEC Registration

KOZAK & TRIPP PRIVATE ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/21/2011

Series 63

Date: 6/5/2009

SIE

Date: 10/1/2018

Series 7

Date: 1/27/2011

Series 6

Date: 8/25/2008

Current Firm

KOZAK & TRIPP PRIVATE ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KOZAK & TRIPP PRIVATE ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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