Adam Peter Kozak

CFP

Spc

14 Years of Experience

1 DisclosureBrokerSells Insurance

View SEC Summary

Areas of Practice

Investment Management

Spc

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

474 advisors

Number of Clients

30,881 clients

Average Client Portfolio

$183K average

Assets Under Management

$5.7B

Fee Structure

Minimum Investment:$10K

Financial Planning:Investment management only

Minimum Annual Fee:$25

Location

475 White Plains Rd, Suite 28, Eastchestor, NY, 10709

Get directions

History

Regulatory History (1)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

March 2021

Settled

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

Adam provides financial services through KPL Financial Group LLC and has been an independent insurance agent since 2012, selling life, accident, health, and fixed index annuities. He also serves as trustee of a special needs trust for his brother, dedicating minimal time to this activity.

Employment History

Current Registrations

Spc

June 2014 - Present · 11 yrs 8 mos

Sigma Financial CorporationBroker

June 2014 - Present · 11 yrs 8 mos

Previous Registrations

Metlife Securities INC.Broker

July 2011 - June 2014 · 2 yrs 11 mos

State Registrations8 states

AZCACTDCFLNJNYTX

AdvisorBrokerBoth

Exams

No exam information available for this advisor.