Frank J. Zawlocki
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.
Frank James Zawlocki, who also goes by Frank J Zawlocki III, Frank James Zawlocki III, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1998. Frank had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2022 - November 6, 2025
THE LEADERS GROUP, INC.
July 28, 2005 - July 1, 2020
VALMARK SECURITIES, INC.
February 8, 2005 - August 25, 2005
VOYA FINANCIAL ADVISORS, INC.
January 24, 2001 - April 14, 2004
UNDERWRITERS EQUITY CORPORATION
September 21, 1998 - January 9, 2001
ASCENSUS SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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