Robert E. Zola
WINTHROP WEALTH
Rockville Centre, NY
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CRD#: 2553407
Professional summary
Robert Eric Zola, CFP®, who also goes by Robert Zola, is a registered financial advisor currently at WINTHROP WEALTH located in Rockville Centre, New York.
Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Robert has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Zola
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.
1. 2/19/2016 - Winthrop Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 1/1/2016 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%.
2. 5/9/2017 - Winthrop Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 05/08/17 - 160 Hours Per/8 Hours Month During Securities Trading - I provide investment advisory services through Winthrop Wealth Management, an independent investment advisor firm. I started this business activity in 5/2017. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
3. 5/9/2017 - Winthrop Advisory Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 05/08/17 - 160 Hours Per Month/8 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Eric Zola'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®
Start date: 2018
Experience
Current
October 16, 2017 - Present
WINTHROP WEALTH
RIA
CRD#: 288178
Rockville Centre, NY
Past
May 9, 2016 - October 7, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
BOSTON, MA
Past
April 27, 2016 - December 17, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
BOSTON, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WW
WINTHROP WEALTH
FINANCIAL PLANNING STRATEGIES, LLC | WINTHROP WEALTH MANAGEMENT | WINTHROP WEALTH | WINTHROP ADVISORY GROUP, LLC | UNIFIED WEALTH MANAGEMENT | KEEL FINANCIAL PARTNERS
CRD#: 288178 / SEC#: 801-110461
RIA
Registered Investment Advisory firm - (4/28/2017 Approved)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
Massachusetts(10/16/2017)
IAR
New York(3/1/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WW
WINTHROP WEALTH
FINANCIAL PLANNING STRATEGIES, LLC | WINTHROP WEALTH MANAGEMENT | WINTHROP WEALTH | WINTHROP ADVISORY GROUP, LLC | UNIFIED WEALTH MANAGEMENT | KEEL FINANCIAL PARTNERS
CRD#: 288178 / SEC#: 801-110461
RIA
Registered Investment Advisory firm - (4/28/2017 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
321 Columbus Ave 3rd Fl, Boston, MA 02116-5168
Mailing Address
Phone number
(617) 530-1010
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,872 |
| AUM (Assets Under Management) | $ 2,600,886,145 |
Red Flags
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