Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JOHN VINCENT KOZUCH
CRD#: 2267072
IA
Investment Adviser
B
Broker
CWM, LLCCRD#: 155344 2135 City Gate Lane, Suite 460
Naperville, IL 60563
CETERA ADVISOR NETWORKS LLCCRD#: 13572 2135 City Gate Lane
Suite 460
Naperville, IL 60563
Registration History
19952000200520102015202020252 FIRMS2020 - Present (4 years)BLPL FINANCIAL LLC (CRD# 6413)2002 - 2020 (18 years)BINTERSECURITIES, INC. (CRD# 16164)1996 - 2002 (5 years)BDREHER & ASSOCIATES, INC. (CRD# 8665)1992 - 1996 (4 years)IALPL FINANCIAL LLC (CRD# 6413)1997 - 2020 (22 years)
License(s)

State Registrations

B
Arkansas 7/7/2020
B
Michigan 7/7/2020
B
Florida 7/7/2020
B
North Carolina 1/3/2024
B
Illinois 7/7/2020
B
Tennessee 3/4/2021
IA
Illinois 7/7/2020
IA
Texas 7/7/2020
B
Indiana 7/7/2020
B
Wisconsin 7/7/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CWM, LLC (CRD#:155344)
2135 City Gate Lane, Suite 460, Naperville, IL 60563
Registered with this firm since 7/7/2020
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
2135 City Gate Lane Suite 460, Naperville, IL 60563
Registered with this firm since 7/7/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/17/1997 - 07/13/2020 LPL FINANCIAL LLC (CRD#:6413) NAPERVILLE, IL
B
 03/04/2002 - 07/13/2020 LPL FINANCIAL LLC (CRD#:6413) NAPERVILLE, IL
B
 11/13/1996 - 03/05/2002 INTERSECURITIES, INC. (CRD#:16164) PHILADELPHIA, PA
B
 08/20/1992 - 11/18/1996 DREHER & ASSOCIATES, INC. (CRD#:8665) OAKBROOK TERRACE, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.