James E. Zogby
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 Edward Zogby was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, SIE, Series 7, Series 27, Series 24 and Series 51 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2015 - April 17, 2020
CHAPIN, DAVIS
March 2, 2015 - April 17, 2020
CHAPIN, DAVIS
July 2, 2012 - March 17, 2015
FIRST ALLIED ADVISORY SERVICES, INC.
December 7, 1997 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
July 31, 1996 - October 8, 2014
GLOBAL TRANSITION SOLUTIONS, INC.
February 2, 1995 - March 5, 2015
FIRST ALLIED SECURITIES, INC.
November 14, 1994 - February 1, 1995
FIRST AFFILIATED SECURITIES
Primary Firm SEC Registration
CHAPIN, DAVIS
CRD#: 28116 / SEC#: 801-70987, 8-43485
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
Series 7TO
Date: 11/30/2022
General Securities Representative ExaminationSeries 99TO
Date: 11/30/2022
Operations Professional ExaminationCurrent Firm
CHAPIN, DAVIS
CRD#: 28116 / SEC#: 801-70987, 8-43485
Contact information
SEC notice filing (16 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALBERT, TALBOT JONES IV | CHAIRMAN OF THE BOARD, CEO | 1620715 |
| HAYES, ELISABETH ALBERT | DIRECTOR/SHAREHOLDER | 1824604 |
| BRUBAKER, THOMAS ALLEN | DIRECTOR | 860338 |
| CARTER, ANA ROUMENOVA | FINANCIAL PRINCIPAL | 4424794 |
| GALANTINO, MICHAEL ANTHONY | PRESIDENT/DIRECTOR | 1277218 |
| KAEHLER, ROBERT JAMES | CHIEF COMPLIANCE OFFICER | 2858149 |
| MURRAY, KEITH LAWRENCE | DIRECTOR | 2726392 |
Regulatory assets under management
| Total Number of Accounts | 741 |
| AUM (Assets Under Management) | $ 539,098,994 |
Disclosures
| Regulatory Event | 9 |
| Civil Event | 1 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 04/26/2024 |
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.
