Aaron K. Kozick

TOWERS WATSON INVESTMENT SERVICES

Newtown Square, PA

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CRD#: 5009947

Professional summary

Aaron K Kozick, who also goes by Aaron Kozick, is a registered financial advisor currently at TOWERS WATSON INVESTMENT SERVICES, INC. located in Newtown Square, Pennsylvania and FORESIDE FUND SERVICES, LLC located in Chicago, Illinois.

Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Aaron has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Aaron Kozick

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Willis Towers Watson; Investment Related; Newtown Square, PA; Began 06/01/2014; Investment consulting; Director; soliciting private funds; 200 hours per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron K Kozick's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 24, 2024 - Present

TOWERS WATSON INVESTMENT SERVICES, INC.

RIA

CRD#: 110473

Newtown Square, PA

Current

December 22, 2023 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 233 South Wacker Drive Suite 1800, Chicago, IL 60606

CRD#: 46106

Chicago, IL

Past

April 20, 2016 - September 18, 2023

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

NEW YORK, NY

Past

March 7, 2016 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

NY, NY

Past

March 3, 2016 - September 18, 2023

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

NY, NY

Past

January 8, 2015 - December 22, 2015

CETERA WEALTH SERVICES, LLC

CRD#: 13572

NEW YORK, NY

Past

July 5, 2006 - November 21, 2011

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

October 28, 2005 - June 23, 2006

NYLIFE SECURITIES LLC

CRD#: 5167

PROVIDENCE, RI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TOWERS WATSON INVESTMENT SERVICES, INC.

TOWERS WATSON INVESTMENT SERVICES | WATSON WYATT INVESTMENT CONSULTING INC | TOWERS WATSON INVESTMENT SERVICES, INC.

CRD#: 110473 / SEC#: 801-46008

RIA

Registered Investment Advisory firm - (3/22/1994 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Pennsylvania
(12/22/2023)

IAR

Pennsylvania
(10/24/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/7/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/22/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/8/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/27/2005

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TOWERS WATSON INVESTMENT SERVICES, INC.

TOWERS WATSON INVESTMENT SERVICES | WATSON WYATT INVESTMENT CONSULTING INC | TOWERS WATSON INVESTMENT SERVICES, INC.

CRD#: 110473 / SEC#: 801-46008

RIA

Registered Investment Advisory firm - (3/22/1994 Approved)

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Contact information

Main Address

233 South Wacker Drive Suite 1800, Chicago, IL 60606

Mailing Address

Phone number

(312) 288-7700

Established

Firm type

Fiscal year end

# of Employees

242

SEC notice filing (21 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

TOWERS WATSON INVESTMENT SERVICES, INC. BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	129
AUM (Assets Under Management)	$ 52,220,039,039

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/31/2025	Cover Page	Report
09/27/2024	Cover Page	Report
08/28/2023	Cover Page	Report
11/22/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Aaron K. Kozick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron K Kozick's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VANGUARD MARKETING CORPORATION

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

TOWERS WATSON INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/7/2015

Series 63

Date: 11/22/2005

SIE

Date: 10/1/2018

Series 7

Date: 1/8/2015

Series 6

Date: 10/27/2005

FINRA

Current Firm

TOWERS WATSON INVESTMENT SERVICES, INC.

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TOWERS WATSON INVESTMENT SERVICES, INC.

TRUST BUT VERIFY

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