James D. Zuelsdorf
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Daniel Zuelsdorf, who also goes by Jim Zuelsdorf, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 11 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2016 - October 17, 2017
ALLEN C. EWING & CO.
November 24, 2014 - December 24, 2015
MML INVESTORS SERVICES, LLC
April 11, 2013 - September 2, 2014
NYLIFE SECURITIES LLC
July 22, 2005 - August 29, 2008
PRUCO SECURITIES, LLC.
July 30, 2002 - September 25, 2003
SII INVESTMENTS, INC.
March 7, 1995 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 7, 1995 - August 11, 2000
SIGNATOR INVESTORS, INC.
December 23, 1991 - February 21, 1995
HARBOUR INVESTMENTS, INC.
March 28, 1991 - December 23, 1991
ROBERT THOMAS SECURITIES, INC
October 12, 1990 - April 1, 1991
FSB PREMIER WEALTH MANAGEMENT, INC.
May 30, 1990 - November 6, 1990
PFEFFER SULLIVAN & PARTNERS INCORPORATED
March 21, 1988 - July 3, 1989
NYLIFE SECURITIES LLC
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
Current Firm
ALLEN C. EWING & CO.
CRD#: 26102 / SEC#: , 8-42393
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPHA STREET HOLDINGS LLC | HOLDING COMPANY | |
| JACKSON, DAVID WHITNEY JR | PRESIDENT - CHIEF COMPLIANCE OFFICER | 1213535 |
Disclosures
| Regulatory Event | 10 |
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.
