Michael H. Zeises
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.
Michael Howard Zeises was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2003 - June 28, 2016
ALLIANZ LIFE FINANCIAL SERVICES, LLC
February 22, 2001 - April 22, 2003
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 13, 2000 - January 24, 2001
ATEL SECURITIES CORPORATION
March 5, 1991 - March 3, 2000
HORNOR, TOWNSEND & KENT, LLC
April 27, 1989 - June 27, 1990
FIDELITY BROKERAGE SERVICES LLC
February 14, 1989 - May 3, 1989
PRINCETON FINANCIAL GROUP, INC.
July 5, 1988 - February 21, 1989
WELLSHIRE SECURITIES, INC.
January 4, 1988 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, INC.
June 3, 1987 - June 1, 1988
FIRST AFFILIATED SECURITIES, INC.
December 14, 1984 - May 28, 1987
MONMOUTH INVESTMENTS, INC.
November 2, 1984 - December 19, 1984
NIELSON AND CLARK INC.
November 23, 1983 - July 19, 1984
KOBRIN SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
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.
