Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Kozak is a financial advisor with Uhlmann Investment Management, LLC. James has been in the financial services industry since 1992 and has a broad range of experience in providing investment advice to individuals, families, and institutions. James is committed to providing his clients with personalized financial planning and investment management services that are tailored to their specific needs and goals. James is a registered representative and investment advisor representative in several states. He holds a variety of licenses and certifications, including the Series 7, Series 24, Series 52TO, and Series 65 licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
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2
IL
11/16/2017 - Present
Uhlmann Investment Management, LLC (SKOKIE IL)
IL
10/12/2015 - 10/04/2017
ROBERTSON STEPHENS SECURITIES (Chicago IL)
IL
01/17/2013 - 09/30/2015
ROTH CAPITAL PARTNERS, LLC (CHICAGO IL)
IL
06/23/2005 - 11/20/2012
ADVANCED EQUITIES, INC. (CHICAGO IL)
IL
04/11/2003 - 06/20/2005
CERTES CAPITAL SECURITIES, LLC (DEERFIELD IL)
IL
11/29/1999 - 02/18/2003
ADVANCED EQUITIES, INC. (CHICAGO IL)
IL
07/07/1995 - 12/02/1999
MADISON SECURITIES, INC. (CHICAGO IL)
IL
05/31/1994 - 06/13/1995
LEXINGTON SECURITIES, INC. (CHICAGO IL)
CO
06/17/1992 - 05/31/1994
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
IA
Issued 08/30/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/17/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/05/2004
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/19/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/15/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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