LK
Lillian M. Kozak
SPC
Harper Woods, MI 48225
Some features on this profile are disabled
CRD#: 7367883
LK
Professional summary
Lillian Marie Kozak is a registered financial advisor currently at SPC located in Harper Woods, Michigan and SIGMA FINANCIAL CORPORATION located in Harper Woods, Michigan.
Lillian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Lillian has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO and SIE 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.
1. DBA - KM Financial Company, LLC, Harper Woods, MI. Name used for securities practice with services/products offered through Sigma Financial Corporation and Sigma Planning Corporation. Start date: 3/28/25, approx. 40 hrs/wk, all during mkt hrs. INV REL: Y 2. Sale of non-variable insurance products (including life, accident and health) through various insurance companies. Start date: 6/5/23, less than 1 hr/mo. INV REL: Y 3. Events Committee Chair - Grosse Pointe Sunrise Rotary, Grosse Pointe, MI. Will work with Committee to host events on behalf of the Rotary and help with fundraising events. Start date: 9/8/25, approx. 5 hrs/mo, 10% during mkt hrs. No access to funds. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Lillian Marie Kozak'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
February 14, 2024 - Present
SPC
Office #1: 20789 Harber Avenue Baker-hopp Building, Harper Woods, MI 48225RIA
CRD#: 110692
Harper Woods, MI
Current
August 29, 2023 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 20789 Harper Avenue Baker-hopp Building, Harper Woods, MI 48225BD
CRD#: 14303
Harper Woods, MI
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".
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)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
Arizona(3/17/2025)
RR
California(3/17/2025)
RR
Colorado(1/6/2025)
RR
Florida(3/17/2025)
RR
Georgia(3/17/2025)
RR
Indiana(3/17/2025)
RR
Maryland(3/17/2025)
RR
Massachusetts(3/17/2025)
RR
Michigan(10/23/2023)
IAR
Michigan(2/14/2024)
RR
Ohio(3/17/2025)
RR
Oregon(3/17/2025)
RR
Texas(3/17/2025)
RR
Vermont(7/7/2025)
RR
Wisconsin(3/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/29/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
