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FZ

Frederick D. Ziegel

Some features on this profile are disabled
CRD#: 1038959
FZ

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Frederick Dean Ziegel was a registered financial professional .

Frederick is a previously registered financial professional and started their career in finance in 1982. Frederick had worked at 12 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 2, 2011 - June 3, 2016

TOPEKA CAPITAL MARKETS INC.

BD
CRD#: 154133
NEW YORK, NY
Past

July 7, 2010 - September 2, 2010

RAVEN SECURITIES CORP.

BD
CRD#: 35201
NEW YORK, NY
Past

February 11, 2009 - May 6, 2009

PULSE TRADING, INC.

BD
CRD#: 104022
BOSTON, MA
Past

March 19, 2004 - January 6, 2009

SOLEIL SECURITIES CORPORATION

BD
CRD#: 124737
NEW YORK, NY
Past

February 1, 2002 - March 22, 2004

BREAN MURRAY & CO., INC.

BD
CRD#: 7541
NEW YORK, NY
Past

November 1, 1999 - November 15, 2001

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

September 21, 1999 - November 1, 1999

CLEARY GULL INC.

BD
CRD#: 45309
MILWAUKEE, WI
Past

February 5, 1999 - August 29, 1999

HCFP BRENNER SECURITIES, LLC

BD
CRD#: 46003
NEW YORK, NY
Past

November 13, 1997 - February 5, 1999

LOEWENBAUM & COMPANY INCORPORATED

BD
CRD#: 26560
AUSTIN, TX
Past

June 21, 1990 - October 29, 1997

PUNK, ZIEGEL & COMPANY, L.P.

BD
CRD#: 26174
NEW YORK, NY
Past

March 16, 1988 - April 9, 1990

NEEDHAM & COMPANY, LLC

BD
CRD#: 16360
NEW YORK, NY
Past

May 21, 1982 - March 12, 1986

SALOMON BROTHERS INC.

BD
CRD#: 740

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/11/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/3/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 2/28/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 5/15/1982
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/15/2011
General Securities Principal Examination

Current Firm

TC
TOPEKA CAPITAL MARKETS INC.
TOPEKA CAPITAL MARKETS INC. | TOPEKA CAPITAL MARKETS, INC.

CRD#: 154133 / SEC#: , 8-68610

BD
Terminated by SEC on 08/21/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/04/2010
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JACKSON, MICHAEL ANTHONYCHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER4028584
HERBERT, PETER CHARLESCOO1712598

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.

Company Information

TOPEKA CAPITAL MARKETS INC.

CRD#: 154133

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