JZ
James E. Zogg
INSTINET
Rye Brook, NY 10573
Some features on this profile are disabled
CRD#: 2768570
JZ
Professional summary
James Edward Zogg is a registered financial professional currently at INSTINET, LLC located in Rye Brook, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1996. James has worked at 6 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 52 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view James Edward Zogg'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®
NoneExperience
Current
June 1, 2006 - Present
INSTINET, LLC
Office #1: Kings Brook 5 International Drive, Building 5, Rye Brook, NY 10573RIA
BD
CRD#: 7897
Rye Brook, NY
Past
April 20, 2006 - June 1, 2006
INSTINET, LLC
BD
CRD#: 42886
NEW YORK, NY
Past
June 7, 2005 - May 3, 2006
E*TRADE SECURITIES LLC
BD
CRD#: 29106
JERSEY CITY, NJ
Past
August 3, 1999 - December 31, 2005
LIGHTSPEED PROFESSIONAL TRADING LLC
BD
CRD#: 39293
NEW YORK, NY
Past
March 29, 1999 - December 20, 1999
LANDMARK SECURITIES CORPORATION
BD
CRD#: 39506
HOUSTON, TX
Past
July 22, 1996 - October 15, 1998
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
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".
INSTINET, LLC
INC TRADING CORPORATION | INSTINET, LLC | INSTINET CLEARING SERVICES, INC.
CRD#: 7897 / SEC#: 801-108490, 8-23669
RIA
Registered Investment Advisory firm - SEC (10/26/2016 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/26/2006)
RR
Alaska(9/26/2006)
RR
Arizona(9/26/2006)
RR
Arkansas(9/26/2006)
RR
California(9/26/2006)
RR
Colorado(9/26/2006)
RR
Connecticut(9/26/2006)
RR
Delaware(9/26/2006)
RR
District of Columbia(9/26/2006)
RR
Florida(9/26/2006)
RR
Georgia(9/26/2006)
RR
Hawaii(9/26/2006)
RR
Idaho(9/26/2006)
RR
Illinois(9/26/2006)
RR
Indiana(9/26/2006)
RR
Iowa(9/26/2006)
RR
Kansas(9/26/2006)
RR
Kentucky(9/26/2006)
RR
Louisiana(9/26/2006)
RR
Maine(9/26/2006)
RR
Maryland(9/26/2006)
RR
Massachusetts(9/26/2006)
RR
Michigan(9/26/2006)
RR
Minnesota(9/26/2006)
RR
Mississippi(9/26/2006)
RR
Missouri(9/26/2006)
RR
Montana(9/26/2006)
RR
Nebraska(9/26/2006)
RR
Nevada(9/26/2006)
RR
New Hampshire(9/26/2006)
RR
New Jersey(9/26/2006)
RR
New Mexico(9/26/2006)
RR
New York(6/1/2006)
RR
North Carolina(9/26/2006)
RR
North Dakota(9/26/2006)
RR
Ohio(9/27/2006)
RR
Oklahoma(9/26/2006)
RR
Oregon(9/26/2006)
RR
Pennsylvania(9/26/2006)
RR
Puerto Rico(9/26/2006)
RR
Rhode Island(9/26/2006)
RR
South Carolina(9/26/2006)
RR
South Dakota(9/26/2006)
RR
Texas(9/26/2006)
RR
Utah(9/26/2006)
RR
Vermont(9/26/2006)
RR
Virginia(9/26/2006)
RR
Washington(9/26/2006)
RR
West Virginia(9/26/2006)
RR
Wisconsin(9/26/2006)
RR
Wyoming(9/26/2006)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/8/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
INSTINET, LLC
INC TRADING CORPORATION | INSTINET, LLC | INSTINET CLEARING SERVICES, INC.
CRD#: 7897 / SEC#: 801-108490, 8-23669
RIA
Registered Investment Advisory firm - SEC (10/26/2016 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
Worldwide Plaza 309 West 49th Street, New York, NY, 10019
Mailing Address
Worldwide Plaza 309 West 49th Street, New York, NY, 10019
Phone number
(212) 310-9500
Established
Delaware since 06/01/2006
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Medium
# of Employees
291
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSTINET HOLDINGS INCORPORATED | DIRECT OWNER | |
| CHIULLI, EUGENE JAMES | CHIEF FINANCIAL OFFICER | 2976702 |
| CONE, RANDI J | CHIEF COMPLIANCE OFFICER | 4811453 |
| KENNIFF, ALICE M | ASSOCIATE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISER) | 5615714 |
| MAURO, LUKE | HEAD OF OPERATIONS | 4188932 |
| MILLIGAN, GERARD THOMAS | PRESIDENT | 2907544 |
| SCHAFFNER, CHRISTY E | PRINCIPAL FINANCIAL OFFICER | 2710171 |
| SISKOVIC, JULIE MARIE | CHIEF COMPLIANCE OFFICER (BROKER-DEALER, CBOE/C2) | 1385048 |
| WEBB, FARON ROSS | GENERAL COUNSEL | 2452057 |
Disclosures
| Regulatory Event | 63 |
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.
