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JZ

Jonathan S. Zwickel

Some features on this profile are disabled
CRD#: 1724322
JZ

Professional summary

Jonathan Scot Zwickel was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jonathan is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Jonathan had worked at 9 firms, which includes CLINGER & CO. INC., NEXT FINANCIAL GROUP INC., AMERIPRISE ADVISOR SERVICES INC., TEXAS CAPITAL SECURITIES INC., BLOCK TRADING INC., TD AMERITRADE INC., PRUDENTIAL EQUITY GROUP LLC, MORGAN STANLEY DW INC., LEHMAN BROTHERS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

January 28, 2011 - February 14, 2020

CLINGER & CO., INC.

BD
CRD#: 1471
HOUSTON, TX
Past

February 15, 2008 - February 6, 2009

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
HOUSTON, TX
Past

February 15, 2006 - February 6, 2008

CLINGER & CO., INC.

BD
CRD#: 1471
HOUSTON, TX
Past

May 3, 2002 - June 2, 2005

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

February 20, 2001 - September 27, 2002

CLINGER & CO., INC.

BD
CRD#: 1471
HOUSTON, TX
Past

January 16, 1998 - January 22, 1999

TEXAS CAPITAL SECURITIES, INC.

BD
CRD#: 25564
HOUSTON, TX
Past

November 30, 1995 - January 17, 1996

BLOCK TRADING INC.

BD
CRD#: 36666
HOUSTON, TX
Past

May 20, 1993 - November 11, 1994

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

April 28, 1993 - May 4, 1993

CLINGER & CO., INC.

BD
CRD#: 1471
HOUSTON, TX
Past

March 31, 1992 - August 6, 1992

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

May 31, 1990 - March 27, 1991

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

February 13, 1990 - June 5, 1990

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/20/1990
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: 2/10/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/8/2008
General Securities Principal Examination

Current Firm

C&
CLINGER & CO., INC.
CLINGER & CO., INC.

CRD#: 1471 / SEC#: , 8-12823

BD
Cancelled by SEC on 06/09/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 03/01/1966
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CLINGER, NORMAN EDMUNDPRESIDENT/POO/PFO/CCO48837

Disclosures

Regulatory Event11

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

CLINGER & CO., INC.

CRD#: 1471

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