Stephen P. Zipkin
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.
Stephen Phillip Zipkin, who also goes by Stephen Zipkin, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1997. Stephen had worked at 8 firms and has passed the 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
January 26, 2016 - January 27, 2016
WINDSOR STREET CAPITAL, LP
October 13, 2005 - June 5, 2017
HALLMARK INVESTMENTS, INC.
January 2, 2003 - November 8, 2005
GUNNALLEN FINANCIAL, INC
October 31, 2002 - January 7, 2003
NATIONAL SECURITIES CORPORATION
April 24, 2002 - September 17, 2002
WESTROCK ADVISORS, INC.
October 23, 2001 - April 26, 2002
SANDGRAIN SECURITIES LLC
June 1, 1999 - October 12, 2001
HAPOALIM SECURITIES USA, INC.
October 1, 1997 - June 1, 1999
STUART, COLEMAN & CO., INC.
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
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
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.
