Joshua Peter Kozel

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
IN	RA	APPROVED	2011-06-27

IN RA
APPROVED

Since 2011-06-27

Branch Locations

105 Lincolnway Ste 205, Valparaiso, IN 46383-5637 • 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

Organization	City	State	From	To
Lpl Financial Llc	Valparaiso	IN	06/2011	Present

06/2011 → Present

Lpl Financial Llc

Valparaiso, IN

Previous Registrations

2007-04-09 → 2015-02-10

Lakeside Wealth Management Group, Llc

Chesterton, IN
2007-01-03 → 2007-12-31

First Allied Advisory Services, Inc.

Chesterfield, MO
2006-10-20 → 2007-01-03

Ffp Advisory Services Inc

Chesterton, IN

Other Businesses

1. 06/27/2011: DBA ONLY - FARRALL WEALTH - VALPARAISO, IN. 2. 1/7/2015: BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - KOZEL ENTERPRISES INC - BUSINESS ENTITY FOR TAX PURPOSES. - STARTED 12/18/2014 - INVESTMENT RELATED - 40 HOURS PER MONTH/8 HOURS DURING TRADING - VALPARAISO, IN.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-10-19

S66 Uniform Combined State Law Examination

2006-10-19

View on SEC IAPD