Joseph J. Zabik
Professional summary
Joseph John Zabik is a registered financial professional currently at BROADHAVEN SECURITIES LLC located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1999. Joseph has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph John Zabik's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 19, 2015 - Present
BROADHAVEN SECURITIES LLC
Office #1: 330 Madison Ave 28th Floor, New York, NY 10017September 17, 2010 - September 24, 2015
STERNE, AGEE & LEACH, INC.
May 31, 2006 - July 1, 2010
BANC OF AMERICA SECURITIES LLC
April 22, 2006 - June 2, 2006
TD AMERITRADE, INC.
April 15, 2003 - April 22, 2006
TD AMERITRADE CLEARING, INC.
March 10, 2000 - April 4, 2003
CITIGROUP GLOBAL MARKETS INC.
August 14, 1999 - March 8, 2000
UBS FINANCIAL SERVICES 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
(10/19/2015)
(10/19/2015)
(3/10/2017)
(10/19/2015)
(2/14/2019)
(2/17/2017)
(2/8/2019)
(10/19/2015)
(2/3/2017)
(12/10/2019)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
BROADHAVEN SECURITIES LLC
CRD#: 157804 / SEC#: , 8-68862
Contact information
FINRA licenses (28 States and Territories)
Documents
Red Flags
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