- November 16, 2019
- Cetera Advisors LLC
Christopher Kozak (CRD # 5530806) was a Financial Advisor at Cetera Advisors LLC in Highlands Ranch, CO. Christopher Kozak has been in the securities industry since 2008 and previously worked at Cambridge Investment Research, Inc.
According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November , 2019, FINRA suspended Christopher Kozak for six months for allegedly engaging “in an undisclosed outside business activity when he did not provide written or other notice to his member firm of his outside business activity with a company until after FINRA inquired about the company.”
For a copy of Christopher Kozak’s FINRA sanction click https://www.finra.org/sites/default/files/fda_documents/2017053017201%20Christopher%20Kozak%20CRD%205530806%20AWC%20jm.pdf.
For a copy of Christopher Kozak’s CRD, click https://brokercheck.finra.org/individual/summary/5530806#disclosuresSection.
Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients. To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.
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