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FI

Frank M. Iozzo

FMI FINANCIAL, LTD.
Oak Brook,, IL
Some features on this profile are disabled
CRD#: 5642894
FI

Professional summary

Frank Michael Iozzo, CPWA® is a registered financial advisor currently at FMI FINANCIAL, LTD. located in Oak Brook,, Illinois.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Frank has worked at 3 firms and has passed the Series 65, Series 66, SIE and Series 7 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 Frank Michael Iozzo's 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®
CPWA®

Certified Private Wealth Advisor

Start date: 2017-02-13

Expire date: 2023-01-31

Experience

Current

January 29, 2019 - Present

FMI FINANCIAL, LTD.

RIA
CRD#: 299806
Oak Brook,, IL
Past

July 8, 2011 - May 15, 2012

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
CHICAGO, IL
Past

July 8, 2011 - March 25, 2015

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL
Past

April 21, 2010 - July 14, 2011

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
CHICAGO, IL
Past

January 22, 2010 - July 14, 2011

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL

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
(1/29/2019)
IAR
Texas
(4/6/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/6/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 4/16/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/25/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/2010
General Securities Representative Examination

Current Firm

FF
FMI FINANCIAL, LTD.
FMI FINANCIAL, LTD.

CRD#: 299806 / SEC#:

Illinois
Registered Investment Advisory firm - (1/29/2019 Approved)
Texas
Registered Investment Advisory firm - (4/2/2020 Conditional Restricted)
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Contact information

Main Address
Oak Brook, IL
Mailing Address
Phone number
(630) 645-3828
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts380
AUM (Assets Under Management)$ 84,071,406

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

FMI FINANCIAL, LTD.

CRD#: 299806Oak Brook,, IL

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