Charles B. Ziemba

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CRD#: 2958875

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.

Charles Bradley Ziemba, who also goes by Brad Ziemba, Charles Ziemba, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1997. Charles had worked at 9 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"?

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.

1) WIMPY JONES, LLC (DBA MAX'S SPORTS BAR); NON-INVESTMENT RELATED; 115 G.E. PATTERSON, MEMPHIS, TN 38103; RESTAURANT & BAR; WEBSITE: WWW.MAXSSPORTSBAR.COM; SILENT PARTNER/25% OWNERSHIP; BEGINNING 12/31/2007; O HOURS DEVOTED TO BUSINESS. 2) Finalis Inc; non-investment-related; 228 Park Ave South Suite 54494 New York, NY 10003; Holding Company of Finalis Securities LLC; Treasurer; 03/01/2022; 2 Hrs/mo; the number of hours you devote to the other business during securities trading hours: 0 Hrs/mo; duties relating to the other business: manage capital movement between the holding company and broker-dealer.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

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

CRD#: 305908

New York, NY

Past

February 21, 2018 - July 12, 2021

CABRERA CAPITAL MARKETS, LLC

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.

CRD#: 199

DENVER, CO

Past

February 20, 2008 - June 14, 2013

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

RIA

CRD#: 6950

MEMPHIS, TN

Past

June 18, 2007 - May 17, 2011

RNA CAPITAL, INC.

CRD#: 107803

MEMPHIS, TN

Past

October 27, 2003 - June 14, 2013

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

CRD#: 6950

MEMPHIS, TN

Past

July 19, 2002 - October 29, 2003

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

May 15, 2000 - June 26, 2002

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

November 28, 1997 - March 19, 1999

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/11/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/22/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 2/6/2009

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 10/13/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 6/22/2005

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 12/21/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/21/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

FINALIS INVESTMENT ADVISORY LLC

CRD#: 318981 / SEC#:

Illinois

Registered Investment Advisory firm - (3/30/2022 Approved)

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Contact information

Main Address

3520 N Lake Shore Dr Unit 4h, Chicago, IL 60657

Mailing Address

Phone number

(901) 568-8974

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Firm Stability Insights

Charles B. Ziemba

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FINALIS SECURITIES LLC

CABRERA CAPITAL MARKETS, LLC

D.A. DAVIDSON & CO.

D.A. DAVIDSON & CO.

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

RNA CAPITAL, INC.

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

MORGAN KEEGAN & COMPANY, LLC

CHARLES SCHWAB & CO., INC.

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/11/2008

Series 63

Date: 10/22/1997

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 87

Date: 2/6/2009

Series 7

Date: 10/13/1997

Series 14

Date: 1/2/2023

Series 24

Date: 6/22/2005

Series 10

Date: 12/21/2001

Series 9

Date: 11/21/2001

Current Firm

FINALIS INVESTMENT ADVISORY LLC

Contact information

Documents

Red Flags

Company Information

FINALIS INVESTMENT ADVISORY LLC

TRUST BUT VERIFY

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