JK
James M. Kozik
KESTRA ADVISORY SERVICES
Columbus, NJ
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CRD#: 7304229
JK
Professional summary
James Michael Kozik, who also goes by James Kozik, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Columbus, New Jersey and KESTRA INVESTMENT SERVICES, LLC located in Hamlton, New Jersey.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. James has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Kozik
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.
Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway, Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Registered Investment Advisor Start Date: 12/31/2020 Hours per month: 41% - 50% (65 - 80 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: Registered Investment Advisor Business Name: New Century Investor Services, LLC Investment Related: Yes Address: 1249 Cranbury South River Road, Suite 201 East Windsor NJ 08512 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Financial Advisor Start Date: 12/31/2020 Hours per month: 51% - 60% (81 - 96 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: Will be a registered representative Business Name: New Century Tax & Accounting Services Investment Related: No Address: 1249 South River Road Cranbury NJ 08512 Nature of Business: Tax/Accounting/CPA Position, Title or Relationship: General Partner Start Date: 1/2/2020 Hours per month: 41% - 50% (65 - 80 hours) Hours per month during trading hours: 31% - 40% (43 - 56 hours) Duties: Bookkeeping, Tax Preparation, management of business
CRS (Client Relationship Summary) - RIA
Click below to view James Michael Kozik'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®
NoneExperience
Current
January 11, 2021 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 1000 Waterview Drive Suite 202, Hamlton, NJ 08691RIA
CRD#: 283330
Columbus, NJ
Current
October 28, 2020 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1000 Waterview Drive Suite 202, Hamlton, NJ 08691BD
CRD#: 42046
Hamlton, NJ
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/13/2021)
RR
Connecticut(1/13/2021)
RR
Delaware(1/13/2021)
RR
Florida(1/13/2021)
RR
Georgia(1/13/2021)
RR
Idaho(7/2/2025)
RR
Illinois(11/4/2025)
RR
Indiana(10/16/2025)
RR
Louisiana(9/27/2021)
RR
Maryland(1/13/2021)
RR
Massachusetts(5/26/2022)
RR
New Jersey(1/8/2021)
IAR
New Jersey(1/11/2021)
RR
New York(1/13/2021)
RR
North Carolina(1/14/2021)
RR
Pennsylvania(1/13/2021)
RR
South Carolina(1/13/2021)
RR
South Dakota(8/2/2021)
RR
Texas(1/13/2021)
RR
Virginia(11/29/2021)
RR
Washington(2/2/2022)
RR
West Virginia(2/11/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/28/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
