Douglas I. Zidel

ZIDEL FINANCIAL

Breckenridge, CO 80424

Some features on this profile are disabled

CRD#: 1449410

Professional summary

Douglas Ira Zidel is a registered financial advisor currently at ZIDEL FINANCIAL INC. located in Breckenridge, Colorado.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Douglas has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

ZIDEL FINANCIAL INC.- REGISTERED INVESTMENT ADVISORY. RIA; FIXED INSURANCE;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Ira Zidel's CRS (Customer Relationship Summary).

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

August 4, 2005 - Present

ZIDEL FINANCIAL INC.

Office #1: 210 S. Ridge Street, Breckenridge, CO 80424

RIA

CRD#: 135047

Breckenridge, CO

Past

September 29, 2001 - December 31, 2019

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

Frisco, CO

Past

January 23, 1997 - October 1, 2001

EISNER SECURITIES, INC.

CRD#: 40585

ST. LOUIS, MO

Past

May 10, 1995 - December 31, 1996

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

February 17, 1993 - June 13, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 4, 1990 - February 23, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

November 21, 1988 - July 23, 1990

J. B. HANAUER & CO.

CRD#: 6958

PARSIPPANY, NJ

Past

September 11, 1987 - November 29, 1988

ADAMS, BLOCK & COE SECURITIES, INC.

CRD#: 19439

Past

January 13, 1986 - April 2, 1987

FIRST INTERREGIONAL EQUITY CORP.

CRD#: 7486

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".

ZIDEL FINANCIAL INC.

ZIDEL FINANCIAL INC. | ZIDEL FINANCIAL, INC.

CRD#: 135047 / SEC#: 801-123333

RIA

Registered Investment Advisory firm - (2/25/2022 Approved)

Colorado

Registered Investment Advisory firm - (3/8/2022 Terminated)

Florida

Registered Investment Advisory firm - (3/8/2022 Terminated)

New York

Registered Investment Advisory firm - (3/8/2022 Terminated)

Texas

Registered Investment Advisory firm - (3/8/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(4/8/2022)

IAR

Colorado
(10/4/2013)

IAR

Florida
(8/4/2005)

IAR

New York
(4/8/2022)

IAR

Texas
(9/20/2017)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/14/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/24/1986

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: 11/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/10/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/14/1995

General Securities Principal Examination

Current Firm

ZIDEL FINANCIAL INC.

ZIDEL FINANCIAL INC. | ZIDEL FINANCIAL, INC.

CRD#: 135047 / SEC#: 801-123333

RIA

Registered Investment Advisory firm - (2/25/2022 Approved)

Colorado

Registered Investment Advisory firm - (3/8/2022 Terminated)

Florida

Registered Investment Advisory firm - (3/8/2022 Terminated)

New York

Registered Investment Advisory firm - (3/8/2022 Terminated)

Texas

Registered Investment Advisory firm - (3/8/2022 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

210 S. Ridge Street, Breckenridge, CO 80424

Mailing Address

Po Box 5830, Breckenridge, CO 80424

Phone number

(970) 409-4466

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ZIDEL FINANCIAL ADV 2A 2B (3/30/2025)

Regulatory assets under management

Total Number of Accounts	313
AUM (Assets Under Management)	$ 144,385,850

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.

Similar Advisors

Charles Helme

BH ASSET MANAGEMENT, LLC

IAR

New York, NY

Ryan Canfield

LPL FINANCIAL LLC

IAR

Enola, PA

Brian Frost

LPL FINANCIAL LLC

IAR

SANTA ROSA, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Douglas I. Zidel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Ira Zidel's CRS (Customer Relationship Summary).

Certified licenses

Experience

LASALLE ST SECURITIES, L.L.C.

EISNER SECURITIES, INC.

COMMONWEALTH FINANCIAL NETWORK

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J. B. HANAUER & CO.

ADAMS, BLOCK & COE SECURITIES, INC.

FIRST INTERREGIONAL EQUITY CORP.

Primary Firm SEC Registration

ZIDEL FINANCIAL INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/14/2004

Series 63

Date: 2/24/1986

SIE

Date: 10/1/2018

Series 7

Date: 11/15/1986

Series 6

Date: 1/10/1986

Series 24

Date: 8/14/1995

Current Firm

ZIDEL FINANCIAL INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ZIDEL FINANCIAL INC.

TRUST BUT VERIFY

Similar Advisors