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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

KEITH J KOZUBAL

Advisor at EDWARD JONES

ST. LOUIS, MO | Castle Rock, CO

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Search this name across graphsid dfx:ria:fe68178d-afdd-1259-1868-d6db6aebf630

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 25, 2015 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: EDWARD JONES
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 31, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Oct 31, 2011
First registration: Mar 25, 2015
Dual registered: yes, broker-dealer
Other names: Keith John Kozubal|Keith Kozubal
IAPD individual key: 6132766

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
EDWARD JONES	National bd RIA	Apr 28, 2025	n/a	yes	ST. LOUIS, MO\|Castle Rock, CO	Current employment
WESTERN WEALTH MANAGEMENT LLC	Independent wealth	Nov 7, 2021	May 6, 2025	no	Frisco, CO	Previous registration
MORGAN STANLEY	Wirehouse	Nov 12, 2018	Nov 22, 2021	no	COLORADO SPRINGS, CO	Previous registration
EDWARD JONES	National bd RIA	Jun 15, 2018	Aug 9, 2018	no	ELIZABETH, CO	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Mar 25, 2015	Dec 22, 2017	no	CASTLE ROCK, CO	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
WESTERN WEALTH MANAGEMENT LLC	EDWARD JONES	May 6, 2025	Apr 28, 2025	-8	Firm change	RIA to ibd
MORGAN STANLEY	WESTERN WEALTH MANAGEMENT LLC	Nov 22, 2021	Nov 7, 2021	-15	Firm change	Wirehouse to RIA
EDWARD JONES	MORGAN STANLEY	Aug 9, 2018	Nov 12, 2018	95	Firm change	Ibd to wirehouse
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	EDWARD JONES	Dec 22, 2017	Jun 15, 2018	175	Firm change	Other

Relationships

Registered with (4)

→ EDWARD JONESRegistered adviserregistration: previous registration
Jun 15, 2018 to Aug 9, 2018factForm ADV
→ WESTERN WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Nov 7, 2021 to May 6, 2025factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Nov 12, 2018 to Nov 22, 2021factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Mar 25, 2015 to Dec 22, 2017factForm ADV

Dated events

Occurred
May 6, 2025
Advisor changed firm
Keith J Kozubal left Western Wealth Management Llc for Edward Jones (registered 2025-04-28)
Form ADVobserved 5 days ago