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KZ

Kermit Charles Zieg

CRD# 1605692·Registered 1987 - 1990
Barred: Kermit Charles Zieg was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Kermit Charles Zieg, who also goes by Kermit Charles Zieg Jr, Kermit Charles Zweig, was a registered financial advisor. Kermit was a previously registered financial professional and started their career in finance 1987 - 1990. Kermit had worked at 2 firms and has passed the Series 63, Series 3 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Kermit Charles Zieg Jr, Kermit Charles Zweig

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

39 years in the financial services industry

Current & Past Employments

HILL MURRIN SECURITIES, INC.·CRD# 15925
BD
May 2, 1988 - December 20, 1990
FIRST POTOMAC SECURITIES CORPORATION·CRD# 15531
BD
August 13, 1987 - December 15, 1987

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Current Firm

HM
HILL MURRIN SECURITIES, INC.

HILL MURRIN SECURITIES, INC.

CRD#: 15925 / SEC#: 8-32976
BD
Terminated by SEC on 03/19/1994

Contact Information

Established

Maryland since 11/09/1984

Firm Type

Corporation

Fiscal Year End

June

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1987About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Aug 1987About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Dec 1986About the Series 7 exam

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CRS (Client Relationship Summary)

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

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