Christopher H. Zockoll
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.
Christopher Howard Zockoll was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1997. Christopher had worked at 4 firms and has passed the Series 63 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
January 2, 2003 - August 13, 2004
INVESTMENT MANAGEMENT CORPORATION
April 26, 2002 - December 31, 2002
LOCUST STREET SECURITIES, INC.
October 1, 1999 - April 22, 2002
UNITED SECURITIES ALLIANCE, INC.
November 14, 1997 - November 16, 1999
MML INVESTORS SERVICES, LLC
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
INVESTMENT MANAGEMENT CORPORATION
CRD#: 37196 / SEC#: , 8-47617
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
