James T. Ziniel

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CRD#: 3071833

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.

James Thomas Ziniel, who also goes by Jim Ziniel, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2002. James had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Ziniel

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)

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 21, 2021 - February 2, 2021

INVESTX MARKETS LLC

CRD#: 148248

Vancouver, BC,

Past

November 1, 2017 - November 19, 2018

HALO SECURITIES, LLC

CRD#: 279029

Chicago, IL

Past

August 25, 2014 - August 16, 2016

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Chicago, IL

Past

March 28, 2011 - May 28, 2013

SIP NORDIC AMERICA LLC

CRD#: 153094

STAMFORD, CT

Past

December 21, 2009 - November 2, 2010

PACIFIC CORNERSTONE CAPITAL INCORPORATED

CRD#: 40397

SANTA ANA, CA

Past

September 17, 2009 - November 30, 2009

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

CRD#: 8494

ST. PETERSBURG, FL

Past

March 26, 2009 - September 8, 2009

SPIKE FINANCIAL SERVICES, LLC

CRD#: 112193

CHICAGO, IL

Past

October 11, 2007 - February 25, 2009

CION SECURITIES, LLC

CRD#: 15487

SAN FRANCISCO, CA

Past

September 19, 2005 - April 30, 2007

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

June 8, 2004 - September 8, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

CHICAGO, IL

Past

March 5, 2003 - September 8, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 14, 2002 - March 6, 2003

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

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

Series 63

Date: 6/3/2004

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/24/2003

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/27/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/13/2002

General Securities Representative Examination

Current Firm

INVESTX MARKETS LLC

AUCTUS SECURITIES, LLC | WOODVILLE HALL CAPITAL, LLC | INVESTX MARKETS LLC

CRD#: 148248 / SEC#: , 8-67996

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

19 Fulton Street Suite 300, New York, NY 10038

Mailing Address

19 Fulton Street Suite 300, New York, NY 10038

Phone number

(212) 390-9270

Established

Virginia since 10/17/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (49 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
INVESTX FINANCIAL (UNITED STATES) INC.	100% OWNER
NEW, MARCUS A.	CCO	7235082
SANDERS, DANIEL TAYLOR	CEO	2673344
VIGLIAROLO, JOSEPH CHARLES	FINOP	4880434

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

James T. Ziniel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HALO SECURITIES, LLC

FORESIDE FUND SERVICES, LLC

SIP NORDIC AMERICA LLC

PACIFIC CORNERSTONE CAPITAL INCORPORATED

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

SPIKE FINANCIAL SERVICES, LLC

CION SECURITIES, LLC

GOLDMAN SACHS & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

QUEST CAPITAL STRATEGIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/3/2004

Series 65

Date: 9/24/2003

SIE

Date: 10/1/2018

Series 31

Date: 8/27/2003

Series 7

Date: 11/13/2002

Current Firm

INVESTX MARKETS LLC

Contact information

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

INVESTX MARKETS LLC

TRUST BUT VERIFY

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