Zurich T. Awes

ZURICH AWES FINANCIAL MANAGEMENT

Christiansted, VI

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CRD#: 2315253

Professional summary

Zurich Thor Awes, CFP® is a registered financial advisor currently at ZURICH AWES FINANCIAL MANAGEMENT, LLC located in Christiansted, .

Zurich is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Zurich has worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Thor Strategic LLC; Not Investment Related; Provides strategic financial advise to small businesses. Activities include analyzing financial statements, suggesting cost savings and automation methods, profitability mix and long term valuation. Less than 10% of time spent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zurich Thor Awes's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Current

December 12, 2013 - Present

ZURICH AWES FINANCIAL MANAGEMENT, LLC

RIA

CRD#: 121033

Christiansted, VI

Past

March 26, 2002 - May 26, 2010

LPL FINANCIAL LLC

CRD#: 6413

PLYMOUTH, MN

Past

October 4, 2000 - March 27, 2002

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

September 28, 2000 - October 10, 2000

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

September 7, 2000 - September 26, 2000

EPLANNING SECURITIES, INC.

CRD#: 46000

ROSEVILLE, CA

Past

February 9, 1996 - September 10, 1998

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

February 25, 1993 - February 15, 1994

AAM SECURITIES, INC.

CRD#: 15383

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(2/20/2015)

IAR

Minnesota
(12/12/2013)

IAR

Texas
(11/5/2014)

IAR

Virgin Islands
(4/7/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/8/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/25/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/23/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 7/28/1993

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/11/1993

General Securities Principal Examination

Current Firm

ZURICH AWES FINANCIAL MANAGEMENT, LLC

AWES, ZURICH THOR | ZURICH AWES WEALTH MANAGEMENT, INC. | ZURICH AWES FINANCIAL MANAGEMENT, LLC | ZURICH AWES FINANCIAL MANAGEMENT, INC. | MOSAIC CAPITAL MANAGEMENT, INC.

CRD#: 121033 / SEC#: 801-71590

RIA

Registered Investment Advisory firm - (5/14/2012 Terminated)

Florida

Registered Investment Advisory firm - (2/20/2015 Approved)

Minnesota

Registered Investment Advisory firm - (5/10/2012 Approved)

Texas

Registered Investment Advisory firm - (11/5/2014 Conditional Restricted)

Virgin Islands

Registered Investment Advisory firm - (11/10/2020 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Christiansted, VI

Mailing Address

500 Westover Dr #10422, Sanford, NC 27330

Phone number

(763) 577-1900

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	200
AUM (Assets Under Management)	$ 26,524,517

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.

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Firm Stability Insights

Zurich T. Awes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zurich Thor Awes's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

FSC SECURITIES CORPORATION

USALLIANZ SECURITIES, INC.

EPLANNING SECURITIES, INC.

FSC SECURITIES CORPORATION

AAM SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/8/1997

Series 63

Date: 2/25/1993

Series 7

Date: 2/23/1993

Series 27

Date: 7/28/1993

Series 24

Date: 5/11/1993

Current Firm

ZURICH AWES FINANCIAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ZURICH AWES FINANCIAL MANAGEMENT, LLC

TRUST BUT VERIFY

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