Oliver T. Zahn
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.
Oliver Thomas Zahn, who also goes by O Thomas Zahn, Thomas Zahn, Tom Zahn, was a registered financial professional .
Oliver is a previously registered financial professional and started their career in finance in 1992. Oliver had worked at 7 firms and has passed the Series 65, Series 63 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
August 30, 2005 - April 24, 2012
INSTITUTIONAL SECURITIES CORPORATION
September 20, 2004 - August 31, 2005
SIGNAL SECURITIES, INC.
September 20, 2004 - August 31, 2005
SIGNAL SECURITIES, INC.
September 4, 2002 - September 16, 2004
LEO BROKERAGE, LLC
January 30, 2001 - March 11, 2005
INVESTMENT & ASSET PLANNING, LLC
January 21, 1999 - September 3, 2002
SECURITIES AMERICA, INC.
October 13, 1992 - June 10, 1997
IDS LIFE INSURANCE COMPANY
October 13, 1992 - June 10, 1997
AMERIPRISE FINANCIAL SERVICES, 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
INSTITUTIONAL SECURITIES CORPORATION
CRD#: 20291 / SEC#: 801-36967, 8-38158
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 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.
