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CZ

Charles B. Ziemba

CRUX CAPITAL SECURITIES
BROOKLYN, NY 11205
Some features on this profile are disabled
CRD#: 2958875
CZ

Professional summary

Charles Bradley Ziemba, who also goes by Brad Ziemba, Charles Ziemba, is a registered financial professional currently at CRUX CAPITAL SECURITIES, LLC located in Brooklyn, New York.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1997. Charles has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 87, Series 7, Series 14, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brad Ziemba | Charles Ziemba

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Bradley Ziemba'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®
None

Experience

Current

February 1, 2026 - Present

CRUX CAPITAL SECURITIES, LLC

Office #1: 19 Morris Avenue, Brooklyn, NY 11205
BD
CRD#: 336464
BROOKLYN, NY
Past

March 30, 2022 - October 14, 2025

FINALIS INVESTMENT ADVISORY LLC

RIA
CRD#: 318981
CHICAGO, IL
Past

July 16, 2021 - October 14, 2025

FINALIS SECURITIES LLC

BD
CRD#: 305908
New York, NY
Past

February 21, 2018 - July 12, 2021

CABRERA CAPITAL MARKETS, LLC

BD
CRD#: 10081
CHICAGO, IL
Past

June 18, 2013 - April 27, 2016

D.A. DAVIDSON & CO.

RIA
CRD#: 199
DENVER, CO
Past

June 17, 2013 - April 27, 2016

D.A. DAVIDSON & CO.

BD
CRD#: 199
DENVER, CO
Past

February 20, 2008 - June 14, 2013

SOUTHSTATE SECURITIES CORP.

RIA
CRD#: 6950
MEMPHIS, TN
Past

June 18, 2007 - May 17, 2011

RNA CAPITAL, INC.

BD
CRD#: 107803
MEMPHIS, TN
Past

October 27, 2003 - June 14, 2013

SOUTHSTATE SECURITIES CORP.

BD
CRD#: 6950
MEMPHIS, TN
Past

July 19, 2002 - October 29, 2003

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

May 15, 2000 - June 26, 2002

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

November 28, 1997 - March 19, 1999

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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
Massachusetts
(2/1/2026)
RR
New Jersey
(2/1/2026)
RR
New York
(2/1/2026)
RR
Pennsylvania
(2/1/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/11/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/22/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 2/6/2009
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 10/13/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/22/2005
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/21/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/21/2001
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CRUX CAPITAL SECURITIES, LLC
CRUX CAPITAL SECURITIES, LLC

CRD#: 336464 / SEC#: , 8-71382

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
19 Morris Avenue, Brooklyn, NY 11205
Mailing Address
19 Morris Avenue, Brooklyn, NY 11205
Phone number
(347) 525-5779
Established
Delaware since 04/28/2025
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CRUX CAPITAL SECURITIES HOLDINGS, LLCSOLE MEMBER
BROWN, SCOTT LESLIEFINOP6694802
CHUNG MCLEAN, YONETTECEO4384662
NICKS, BRENT PATRICKCCO4067773

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.

Company Information

CRUX CAPITAL SECURITIES, LLC

CRD#: 336464Brooklyn, NY 11205

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