Joseph D. Zabar
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.
Joseph Daniel Zabar, who also goes by Joseph Daniel Zabar, Joseph D Zabar, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1994. Joseph had worked at 10 firms and has passed the Series 65, 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
September 1, 2023 - June 9, 2025
J.W. COLE FINANCIAL, INC.
July 13, 2022 - June 9, 2023
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 15, 2015 - March 23, 2021
LPL FINANCIAL LLC
February 13, 2014 - April 23, 2015
LPL FINANCIAL LLC
December 12, 2012 - October 25, 2013
KEY INVESTMENT SERVICES LLC
April 14, 2010 - November 17, 2011
KEY INVESTMENT SERVICES LLC
October 21, 2008 - May 3, 2010
CITIGROUP GLOBAL MARKETS INC.
April 10, 2006 - March 31, 2008
CHASE INVESTMENT SERVICES CORP.
August 24, 2005 - April 3, 2006
WELLS FARGO CLEARING SERVICES, LLC
November 26, 2001 - August 23, 2005
MORGAN STANLEY DW INC.
May 17, 1995 - November 23, 2001
PRUDENTIAL EQUITY GROUP, LLC
November 10, 1994 - April 26, 1995
GKN SECURITIES CORP.
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
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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