Ernest Cozzi, financial advisor Oak Brook IL
86 score

Ernest Cozzi

CRD Number: 1173200
Current Firm: Cetera Investment Advisers LLC

Ernest Cozzi (CRD# 1173200) is an Investment Advisor Representative working at Cetera Investment Advisers LLC in Oak Brook, IL and has over 25 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Summit Brokerage Services Inc. Oak Brook, IL Sep 2015 - Current 1
Jp Turner And Co Capital Management Oak Brook, IL Sep 2011 - Current 5
J.p. Turner & Company, LLC Oak Brook, IL Sep 2011 - Sep 2015 4
Workman Securities Corporation Eden Prairie, MN Dec 2006 - Sep 2011 4
Nationwide Provident Lombard, IL Mar 1996 - Dec 2006 10
1717 Capital Management Company Newark, DE Mar 1996 - Dec 2006 10
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1991
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Ernest A. Cozzi
Phone Number: 888-528-2987
Registered State(s):
  • IL
By the Numbers
  • Total Assets Under Management
    7,010
    MILLIONS
  • Total Number of Accounts
    26,660
    ACCOUNTS
  • Average Account Value
    $262,943
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
86

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