Daniel J. Zambetta
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.
Daniel James Zambetta was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1996. Daniel had worked at 18 firms and has passed the Series 63, SIE 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
July 5, 2016 - January 25, 2021
PHX FINANCIAL, INC.
September 23, 2014 - July 27, 2015
BLACKBOOK CAPITAL, LLC
January 16, 2014 - September 19, 2014
PHX FINANCIAL, INC.
July 11, 2013 - February 7, 2014
IAA FINANCIAL LLC
May 7, 2013 - July 1, 2013
C.K. COOPER & COMPANY, INC.
July 5, 2012 - May 3, 2013
LEGEND SECURITIES, INC.
March 1, 2012 - June 21, 2012
BROOKSTONE SECURITIES, INC.
January 26, 2010 - November 8, 2011
BROOKSTONE SECURITIES, INC.
April 8, 2009 - May 7, 2009
BROOKSTONE SECURITIES, INC.
November 14, 2005 - October 20, 2008
J.P. TURNER & COMPANY, L.L.C.
May 26, 2004 - January 19, 2005
GUNNALLEN FINANCIAL, INC
March 12, 2004 - April 6, 2004
GUNNALLEN FINANCIAL, INC
December 17, 2001 - June 26, 2002
CONTINENTAL BROKER-DEALER CORP.
November 6, 2001 - December 17, 2001
NEW WORLD FINANCIAL, INC.
June 25, 2001 - October 10, 2001
BISHOP, ROSEN & CO., INC.
May 12, 2000 - November 10, 2000
SHARPE CAPITAL, INC.
February 9, 1999 - January 19, 2000
SHARPE CAPITAL, INC.
November 10, 1998 - January 11, 1999
BELL INVESTMENT GROUP, INC.
September 3, 1998 - November 25, 1998
NEW TIMES SECURITIES SERVICES, INC.
March 25, 1998 - July 20, 1998
CONTINENTAL BROKER-DEALER CORP.
December 9, 1997 - April 8, 1998
W.J. NOLAN & COMPANY, INC.
July 29, 1997 - November 13, 1997
ROYAL HUTTON SECURITIES CORP.
July 10, 1997 - August 1, 1997
MORGAN GRANT CAPITAL CORP.
August 26, 1996 - July 17, 1997
INVESTORS ASSOCIATES, INC.
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
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
