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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

GARY ANTHONY KOZEE

Advisor at LPL FINANCIAL LLC

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Search this name across graphsid dfx:ria:f7a2789c-4212-9684-c2f7-7573d3d68784

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 12, 2005 to Sep 15, 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: LPL FINANCIAL 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: Oct 10, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Oct 10, 2000
First registration: Sep 12, 2005
Dual registered: yes, broker-dealer
Other names: GARY A KOZEE
IAPD individual key: 2611710

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
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 5, 2016	n/a	yes	BROOKVILLE, OH\|LEBANON, OH\|EATON, OH\|LEWISBURG, OH\|EATON, OH\|WAYNESVILLE, OH\|CENTERVILLE, OH\|DAYTON, OH	Current employment
KEY INVESTMENT SERVICES LLC	Bd affiliated wealth	May 6, 2013	Jan 5, 2016	no	Dayton, OH\|Dayton, OH\|CINCINNATI, OH\|CINCINNATI, OH\|CLAWSON, MI	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	May 11, 2011	Mar 1, 2013	no	CENTERVILLE, OH\|DAYTON, OH\|DAYTON, OH\|SPRINGFIELD, OH\|NEW CARLISLE, OH\|SPRINGFIELD, OH\|SPRINGFIELD, OH\|HUBER HEIGHTS, OH\|CENTERVILLE, OH\|DAYTON, OH\|HUBER HEIGHTS, OH\|BEAVERCREEK, OH\|BEAVERCREEK, OH\|DAYTON, OH	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Jan 27, 2009	May 6, 2011	no	OAKWOOD, OH\|TROY, OH\|DAYTON, OH\|BEAVERCREEK, OH\|BEAVERCREEK, OH\|DAYTON, OH\|WEST CARROLLTON, OH\|DAYTON, OH\|OAKWOOD, OH	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Sep 12, 2005	Jan 2, 2009	no	Beavercreek, OH\|BEAVERCREEK, OH\|CENTERVILLE, OH\|DAYTON, OH\|DAYTON, OH\|FRANKLIN, OH\|Huber Heights, OH\|KETTERING, OH\|MIAMISBURG, OH\|TROTWOOD, OH\|DAYTON, OH\|BEAVERCREEK, OH\|FAIRBORN, OH\|SPRINGFIELD, OH\|OAKWOOD, OH\|DAYTON, OH	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
KEY INVESTMENT SERVICES LLC	LPL FINANCIAL LLC	Jan 5, 2016	Jan 5, 2016	0	Firm change	Other
PNC WEALTH MANAGEMENT	KEY INVESTMENT SERVICES LLC	Mar 1, 2013	May 6, 2013	66	Firm change	Other
FIFTH THIRD SECURITIES, INC.	PNC WEALTH MANAGEMENT	May 6, 2011	May 11, 2011	5	Firm change	Other
U.S. BANCORP INVESTMENTS, INC.	FIFTH THIRD SECURITIES, INC.	Jan 2, 2009	Jan 27, 2009	25	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jan 5, 2016 to presentfactForm ADV
→ KEY INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
May 6, 2013 to Jan 5, 2016factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
May 11, 2011 to Mar 1, 2013factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Jan 27, 2009 to May 6, 2011factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Sep 12, 2005 to Jan 2, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f7a2789c-4212-9684-c2f7-7573d3d68784
First observed: Sep 12, 2005
Last observed: Sep 15, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

GARY ANTHONY KOZEE

Advisor at LPL FINANCIAL LLC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f7a2789c-4212-9684-c2f7-7573d3d68784

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:23 AM UTC and rebuilt at most every 15 minutes.