Derek A. Zundl

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CRD#: 3039686

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.

Derek Alan Zundl, who also goes by Derek Zundl, was a registered financial professional .

Derek is a previously registered financial professional and started their career in finance in 2008. Derek had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Derek Zundl

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.

LMCG INVESTMENTS, LLC, BOSTON, MA, INVESTMENT RELATED-ASSET MANAGEMENT, START DATE 1/14/2019, INSTITUTIONAL AND SUB-ADVISORY SALES, WORK WITH SUB-ADVISORY AND INSITUTIONAL FIRMS TO PROMOTE AND LMCG STRATEGIES, 160 HOURS PER MONTH ALL DURING SECURITIES TRADING HOURS.

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

January 30, 2020 - March 29, 2022

LMCG INVESTMENTS, LLC

RIA

CRD#: 149936

BOSTON, MA

Past

April 10, 2019 - March 4, 2022

FORESIDE FUND SERVICES, LLC

CRD#: 46106

BOSTON, MA

Past

April 26, 2016 - January 11, 2019

PNC CAPITAL ADVISORS LLC

RIA

CRD#: 151829

Boston, MA

Past

April 1, 2016 - January 11, 2019

FORESIDE DISTRIBUTION SOLUTIONS, LLC

CRD#: 118787

Boston, MA

Past

November 10, 2015 - February 5, 2016

LIFESCI CAPITAL

CRD#: 168404

NEW YORK, NY

Past

May 1, 2010 - May 8, 2015

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA

CRD#: 108257

BOSTON, MA

Past

May 1, 2010 - May 8, 2015

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

March 18, 2008 - May 7, 2010

BOFA ADVISORS, LLC

RIA

CRD#: 107900

BOSTON, MA

Past

January 17, 2008 - May 1, 2010

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LMCG INVESTMENTS, LLC

LEE MUNDER CAPITAL GROUP, LLC | LMCG INVESTMENTS, LLC | LMCG

CRD#: 149936 / SEC#: 801-70357

RIA

Registered Investment Advisory firm - (7/6/2009 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/17/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/2008

General Securities Representative Examination

Current Firm

LMCG INVESTMENTS, LLC

LEE MUNDER CAPITAL GROUP, LLC | LMCG INVESTMENTS, LLC | LMCG

CRD#: 149936 / SEC#: 801-70357

RIA

Registered Investment Advisory firm - (7/6/2009 Approved)

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Contact information

Main Address

One Boston Place 201 Washington Street 29th Floor, Boston, MA, 02108

Mailing Address

Phone number

(617) 380-5600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LMCG INVESTMENTS, LLC FORM ADV PART 2A BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	2,160
AUM (Assets Under Management)	$ 6,545,996,799

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/10/2025	Cover Page	Report
12/11/2024	Cover Page	Report
01/24/2024	Cover Page	Report
12/28/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Derek A. Zundl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

PNC CAPITAL ADVISORS LLC

FORESIDE DISTRIBUTION SOLUTIONS, LLC

LIFESCI CAPITAL

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BOFA ADVISORS, LLC

BOFA DISTRIBUTORS, INC.

Primary Firm SEC Registration

LMCG INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/17/2008

SIE

Date: 10/1/2018

Series 7

Date: 1/16/2008

Current Firm

LMCG INVESTMENTS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LMCG INVESTMENTS, LLC

TRUST BUT VERIFY

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