Brad L. Zigler
Professional summary
Brad Louis Zigler was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brad is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Brad had worked at 7 firms, which includes BLACKROCK EXECUTION SERVICES, CONTINENTAL CAPITAL GROUP INC., AMERIPRISE ADVISOR SERVICES INC., EDWARD JONES, CARTWRIGHT AND WALKER SECURITIES INCORPORATED, MIDLAND MONTAGU SECURITIES INC., E. F. HUTTON & COMPANY INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2000 - October 26, 2001
BLACKROCK EXECUTION SERVICES
December 7, 1993 - March 1, 1994
CONTINENTAL CAPITAL GROUP, INC.
March 6, 1992 - July 14, 1993
AMERIPRISE ADVISOR SERVICES, INC.
August 28, 1991 - March 4, 1992
EDWARD JONES
May 31, 1990 - October 2, 1991
CARTWRIGHT AND WALKER SECURITIES, INCORPORATED
July 31, 1987 - August 25, 1987
MIDLAND MONTAGU SECURITIES INC.
December 19, 1984 - February 20, 1985
E. F. HUTTON & COMPANY 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
Series 8
Date: 5/29/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BLACKROCK EXECUTION SERVICES
CRD#: 39438 / SEC#: , 8-48719
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A. | SHAREHOLDER | |
| DEVICO, JOSEPH GEORGE | DIRECTOR | 2808563 |
| HEROLD, MEREDITH L | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4792340 |
| MARCUS, ZACHARY SETH | CHIEF FINANCIAL OFFICER AND FINOP | 7040433 |
| MARO, JONATHAN MARTIN | DIRECTOR | 6476640 |
| MEADE, CHRISTOPHER JOSEPH | CHIEF LEGAL OFFICER | 6728448 |
| ROHE, DOMINIK | DIRECTOR | 3275040 |
| ROSTA, GREGORY MATTHEW | CHIEF COMPLIANCE OFFICER | 5193482 |
| SKOWRONSKI, SCOTT MICHAEL | CHIEF OPERATING OFFICER | 5171257 |
| VILLACORTA, ROLAND ESTEBAN | DIRECTOR | 2566073 |
Red Flags
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