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DZ

Daniel S. Zuckerman

INTEGRITY BROKERAGE
Seattle, WA 98101
Some features on this profile are disabled
CRD#: 1664035
DZ

Professional summary

Daniel Stephen Zuckerman, CFP®, who also goes by Daniel Breen, Daniel Zuckerman, is a registered financial professional currently at INTEGRITY BROKERAGE, LLC located in Seattle, Washington.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1988. Daniel has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 22 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Breen | Daniel Zuckerman

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) - BD

Click below to view Daniel Stephen Zuckerman'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®
CFP®

Certified Financial Planner

Experience

Current

August 18, 2009 - Present

INTEGRITY BROKERAGE, LLC

Office #1: 720 Seneca St Ste 107, Seattle, WA 98101
BD
CRD#: 117589
Seattle, WA
Past

April 9, 2009 - August 17, 2009

ETECH SECURITIES, INC.

BD
CRD#: 104195
PASADENA, CA
Past

July 20, 1999 - July 11, 2008

FIRST GLOBAL SECURITIES, INC.

BD
CRD#: 28612
PASADENA, CA
Past

October 13, 1997 - December 31, 1998

FINANCE 500, INC.

BD
CRD#: 12981
IRVINE, CA
Past

April 24, 1997 - October 7, 1997

M.A. GILLESPIE INVESTMENT CORP.

BD
CRD#: 10355
TARZANA, CA
Past

August 25, 1993 - December 31, 1996

FINANCIAL WEST GROUP

BD
CRD#: 16668
RENO, NV
Past

January 19, 1988 - September 24, 1991

KAJ FINANCIAL CORP.

BD
CRD#: 17078

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(8/18/2009)
RR
Nevada
(12/2/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/22/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/4/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/22/1995
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 4/14/1987
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/7/2001
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IB
INTEGRITY BROKERAGE, LLC
HELMLE, JOSHUA NATHAN | MF MANAGEMENT | INTEGRITY, LLC | INTEGRITY CAPITAL MANAGEMENT | INTEGRITY BROKERAGE, LLC | INTEGRITY BROKERAGE SERVICES, INC. | INTEGRITY BROKERAGE SERVICES

CRD#: 117589 / SEC#: , 8-53604

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
720 Seneca St Ste 107, Monterey Park, CA 98101
Mailing Address
453 S Spring St Ste 400 Pmb 285, Los Angeles, CA 90013
Phone number
(949) 294-9833
Established
California since 08/01/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
WONG, DAVID WEICEO/CCO/CFO4689031
DE LUZ, MICHAEL KFINANCIAL OPERATIONS PRINCIPAL2526894
LAWSON, SEAN CHRISTOPHERPRINCIPAL2536371

Disclosures

Regulatory Event4

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

INTEGRITY BROKERAGE, LLC

CRD#: 117589Seattle, WA 98101

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