Michael D. Zukowski
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.
Michael David Zukowski was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1989. Michael had worked at 6 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2011 - September 9, 2011
WALL STREET FINANCIAL GROUP, INC.
January 14, 2011 - September 9, 2011
WALL STREET FINANCIAL GROUP, INC.
August 7, 2007 - December 23, 2010
RBC CAPITAL MARKETS, LLC
July 22, 2005 - December 23, 2010
RBC CAPITAL MARKETS, LLC
April 5, 1999 - July 28, 2005
MORGAN STANLEY DW INC.
January 1, 1990 - April 6, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 8, 1989 - November 18, 1989
AMERIPRISE ADVISOR SERVICES, INC.
February 14, 1989 - September 12, 1989
THE STUART-JAMES COMPANY, INCORPORATED
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
WALL STREET FINANCIAL GROUP, INC.
CRD#: 35830 / SEC#: 801-58292, 8-46964
Contact information
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
