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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)35 years in industry

ERNEST ANTHONY COZZI

Advisor at CETERA INVESTMENT ADVISERS LLC

Oak Brook, IL

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Search this name across graphsid dfx:ria:168dd719-5b85-e518-3939-824f638cd0a1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 8, 1998 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 24, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Consultant
Exams: S63
First exam: Apr 24, 1991
First registration: Mar 8, 1998
Dual registered: yes, broker-dealer
IAPD individual key: 1173200

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	n/a	yes	Oak Brook, IL	Current employment
SUMMIT FINANCIAL GROUP INC	Former SEC adviser	Sep 17, 2019	May 20, 2021	no	OAK BROOK, IL	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Oct 20, 2015	Sep 9, 2019	no	Oak Brook, IL	Previous registration
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	Former SEC adviser	Sep 23, 2011	Nov 13, 2015	no	OAK BROOK, IL	Previous registration
WORKMAN SECURITIES CORPORATION	n/a	Dec 20, 2006	Sep 28, 2011	no	OAK BROOK, IL\|OAK BROOK, IL\|EDEN PRAIRIE, MN	Previous registration
1717 CAPITAL MANAGEMENT COMPANY	n/a	Mar 8, 1998	Jan 3, 2007	no	DOWNERS GROVE, IL\|LOMBARD, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SUMMIT FINANCIAL GROUP INC	CETERA INVESTMENT ADVISERS LLC	May 20, 2021	Jun 29, 2023	770	Bulk transfer	Ibd to ibd
CETERA INVESTMENT ADVISERS LLC	SUMMIT FINANCIAL GROUP INC	Sep 9, 2019	Sep 17, 2019	8	Firm change	Ibd to ibd
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	CETERA INVESTMENT ADVISERS LLC	Nov 13, 2015	Oct 20, 2015	-24	Bulk transfer	Other
WORKMAN SECURITIES CORPORATION	J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	Sep 28, 2011	Sep 23, 2011	-5	Firm change	Other
1717 CAPITAL MANAGEMENT COMPANY	WORKMAN SECURITIES CORPORATION	Jan 3, 2007	Dec 20, 2006	-14	Firm change	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Oct 20, 2015 to Sep 9, 2019factForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserregistration: previous registration
Sep 17, 2019 to May 20, 2021factForm ADV
→ J P TURNER & COMPANY CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 23, 2011 to Nov 13, 2015factForm ADV
→ WORKMAN SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Dec 20, 2006 to Sep 28, 2011factForm ADV
→ 1717 CAPITAL MANAGEMENT COMPANYRegistered adviserregistration: previous registration
Mar 8, 1998 to Jan 3, 2007factForm ADV

Dated events

No dated event names this entity yet.