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JOHN JOSEPH KOZOL
CRD#: 1123910
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 777 108TH AVENUE NE
SUITE 2060
BELLEVUE, WA 98004
CETERA ADVISORS LLCCRD#: 10299 777 108TH AVENUE NE SUITE 2060A
BELLEVUE, WA 98004
Registration History
198519901995200020052010201520202025BCETERA ADVISORS LLC (CRD# 10299)2022 - Present (2 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2020 - Present (4 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)1994 - 2022 (27 years)BFIRST AFFILIATED SECURITIES (CRD# 23737)1989 - 1995 (5 years)BPFG SECURITIES, INC. (CRD# 15401)1985 - 1989 (4 years)BPROFESSIONAL SECURITIES CORPOR... (CRD# 10285)1983 - 1985 (2 years)IAFIRST ALLIED ADVISORY SERVICES... (CRD# 137888)2012 - 2020 (8 years)IAFIRST ALLIED SECURITIES, INC. (CRD# 32444)1995 - 2012 (17 years)
License(s)

State Registrations

B
Arizona 9/8/2022

B
New Mexico 9/8/2022

B
California 9/8/2022

B
Ohio 9/8/2022

B
Colorado 9/8/2022

B
Oregon 9/8/2022

B
Florida 9/8/2022

IA
Texas 2/10/2022

B
Idaho 9/8/2022

B
Texas 9/8/2022

B
Illinois 9/8/2022

IA
Washington 11/12/2020

B
Kentucky 9/8/2022

B
Washington 9/8/2022

B
Montana 9/8/2022

B
Wisconsin 9/8/2022

B
New Jersey 9/8/2022

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
CETERA ADVISORS LLC (CRD#:10299)
777 108TH AVENUE NE SUITE 2060A, BELLEVUE, WA 98004
REDMOND, WA
Registered with this firm since 9/8/2022

IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
777 108TH AVENUE NE SUITE 2060, BELLEVUE, WA 98004
REDMOND, WA
Registered with this firm since 11/12/2020

Previous Registration(s)
th hidden textth hidden textNameLocation
B
12/15/1994 - 09/08/2022 FIRST ALLIED SECURITIES, INC. (CRD#:32444) BELLEVUE, WA
IA
07/02/2012 - 11/12/2020 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) BELLEVUE, WA
IA
06/09/1995 - 07/02/2012 FIRST ALLIED SECURITIES, INC. (CRD#:32444) BELLEVUE, WA
B
08/25/1989 - 02/21/1995 FIRST AFFILIATED SECURITIES (CRD#:23737) LA JOLLA, CA
B
05/01/1985 - 08/25/1989 PFG SECURITIES, INC. (CRD#:15401)
B
04/19/1983 - 05/16/1985 PROFESSIONAL SECURITIES CORPORATION OF WASHINGTON (CRD#:10285)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.