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John E Kozakis

Northwestern Mutual Investment Services, LLC

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About John E Kozakis

John E. Kozakis is a financial professional with over 25 years of experience in the financial services industry. John currently works with Northwestern Mutual Investment Services, LLC and is registered with the state of New Jersey as an Investment Advisor Representative. John has held previous roles with CADARET, GRANT & CO., INC., METROPOLITAN LIFE INSURANCE COMPANY and METLIFE SECURITIES INC. John holds several licenses and certifications, including Series 6, 7, 24, 63 and 66 licenses. John has a strong track record of providing financial advice and services to a wide range of clients, including individuals, families, and businesses.

Firm Information

John Kozakis is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

Not reported

Assets Under Management

1

Total Clients

10,224

Total Financial Advisors

Services Offered

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.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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John Kozakis’s Registration & Firm History

NJ

11/15/2007 - Present

Northwestern Mutual Investment Services, LLC (Bedminster NJ)

NY

12/19/2001 - 03/06/2002

CADARET, GRANT & CO., INC. (SYRACUSE NY)

NY

11/26/1993 - 01/18/2000

METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)

MA

11/26/1993 - 08/15/1995

METLIFE SECURITIES INC. (SPRINGFIELD MA)

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Licenses & Designations

BOTH

Issued 08/16/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/28/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/11/2008

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/07/1999

Series 7 - General Securities Representative Examination

BC

Issued 11/24/1993

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John E Kozakis.
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