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Rose Marie Cozad

B. C. Ziegler AND Co.

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About Rose Marie Cozad

Rose Marie Cozad is a financial professional with experience in the securities industry. Rose is currently registered with B. C. Ziegler and Co. in Chicago, Illinois. Rose has passed the Securities Industry Essentials Examination (SIE) and the Operations Professional Examination (Series 99TO).

Firm Information

Rose Cozad is currently registered with B. C. Ziegler AND Co.. B. C. Ziegler AND Co. is a Corporation that was formed on February 12, 1920. The firm is registered in 52 states and has been approved for SEC registration. They offer a variety of services to a diverse client base, including insurance companies, investment companies, charitable organizations, high-net-worth individuals, other investment advisers, pooled investment vehicles, banking or thrift institutions, business development companies, pension and profit-sharing plans, corporations or other businesses, individuals other than high-net-worth, state or municipal government entities, and sovereign wealth funds and foreign official institutions. The firm has disclosed 7 Regulatory Events, 2 Civil Events, and 2 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

59

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.

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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Rose Cozad’s Registration & Firm History

IL

01/23/2024 - Present

B. C. Ziegler AND Co. (CHICAGO IL)

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Licenses & Designations

BC

Issued 01/23/2024

Series 99TO - Operations Professional Examination

BC

Issued 11/04/2023

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Rose Marie Cozad.
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