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Paul Mozis

Fifth Third Securities, Inc.

Elmhurst, IL

Glen Ellyn, IL

Wheaton, IL

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Current Employers
Fifth Third Securities, Inc.

34 Fountain Square Plaza Md 1090Xb, Cincinnati, OH 45263 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2019-06-03
  • IL RA
    APPROVED
    Since 2019-06-03

Branch Locations

990 N York St, Elmhurst, IL 60126 • United States

704 E Roosevelt Road, Glen Ellyn, IL 60137 • United States

204 E Geneva Road, Wheaton, IL 60187 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Investment Services Llc St. Cloud MN 12/2011 05/2019
Mb Financial Bank Elmhurst IL 05/2010 05/2019
Cetera Investment Advisers Llc Elmhurst IL 01/2014 05/2019
Fifth Third Bank Elmhurst IL 05/2019 Present
Fifth Third Securities Elmhurst IL 05/2019 Present
  • 12/2011 → 05/2019
    Cetera Investment Services Llc
    St. Cloud, MN
  • 05/2010 → 05/2019
    Mb Financial Bank
    Elmhurst, IL
  • 01/2014 → 05/2019
    Cetera Investment Advisers Llc
    Elmhurst, IL
  • 05/2019 → Present
    Fifth Third Bank
    Elmhurst, IL
  • 05/2019 → Present
    Fifth Third Securities
    Elmhurst, IL
Previous Registrations
  • 2014-01-21 → 2019-05-31
    Cetera Investment Advisers Llc
    Elmhurst, IL
  • 2011-12-06 → 2014-01-21
    Cetera Investment Services Llc
    Elmhurst, IL
  • 2006-11-02 → 2010-04-30
    Citizens Securities, Inc.
    Elmhurst, IL
    Villa Park, IL
    Johnston, RI
    Elmhurst, IL
    Orland Hills, IL
    Alsip, IL
    Orland Park, IL
    Lockport, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-07-29
S63 Uniform Securities Agent State Law Examination 1997-09-22
  • S65 Uniform Investment Adviser Law Examination
    1998-07-29
  • S63 Uniform Securities Agent State Law Examination
    1997-09-22
Designations
Other Names
  • Paul William Mozis

View on SEC IAPD

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EDELMAN FINANCIAL ENGINES
AMERIPRISE FINANCIAL SERVICES, LLC
B. RILEY WEALTH ADVISORS, INC.

Other Investors

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Christopher J DeSimone
Anthony Miguel Bandel
KEVIN PATRICK NIX
Kevin Peter Kost
LAITH AMER AL TIKRITI
STEVEN ALLEN SMITH
BARRY JASON DUPUY

Other Offices

STRATOS WEALTH PARTNERS, LTD · Elmhurst, IL
EDWARD JONES · Elmhurst, IL
STRATOS WEALTH PARTNERS, LTD · Elmhurst, IL
EDWARD JONES · ELMHURST, IL
CETERA INVESTMENT ADVISERS LLC · Oakbrook Terrace, IL
UBS FINANCIAL SERVICES INC. · OAKBROOK TERRACE, IL
NORTHERN TRUST SECURITIES, INC. · OAKBROOK TERRACE, IL
UBS FINANCIAL SERVICES INC. · OAKBROOK TERRACE, IL

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