Jason R. Zach
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.
Jason Robert Zach was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1998. Jason had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2016 - June 6, 2016
SECURITIES MANAGEMENT & RESEARCH, INC.
November 29, 2012 - December 6, 2013
AMERITAS INVESTMENT COMPANY, LLC
November 28, 2012 - December 6, 2013
AMERITAS INVESTMENT COMPANY, LLC
June 4, 2010 - November 30, 2010
BANCWEST INVESTMENT SERVICES, INC.
November 25, 2009 - November 30, 2010
BANCWEST INVESTMENT SERVICES, INC.
April 2, 2008 - May 27, 2009
RIVERSOURCE DISTRIBUTORS, INC.
May 10, 2007 - April 7, 2008
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
November 5, 2002 - May 7, 2007
DIRECTED SERVICES LLC
May 2, 2001 - August 12, 2002
AMERITAS INVESTMENT COMPANY, LLC
May 4, 2000 - May 3, 2001
PRINCIPAL SECURITIES, INC.
July 9, 1998 - February 16, 2000
AMERIPRISE ADVISOR SERVICES, INC.
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
SECURITIES MANAGEMENT & RESEARCH, INC.
CRD#: 759 / SEC#: 801-8002, 8-12745
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ONE FINANCIAL, INC. | PARENT | |
| BERTHEL, THOMAS JOSEPH | CHAIRMAN OF BOARD/EXECUTIVE VICE PRESIDENT | 823289 |
| CHAPMAN, KIMBERLY KAREN EARLY | CHIEF COMPLIANCE OFFICER | 2527036 |
| CHRISTOFFERSON, ANDREW JAMES | CHIEF EXECUTIVE OFFICER/PRESIDENT | 3248381 |
| DAVENPORT, SHELLEY RAE | VICE PRESIDENT LEGAL & REGULATORY MATTERS | 2131376 |
| HOHN, JAMES RALPH | VICE PRESIDENT/TECHNOLOGY | 5413776 |
| MEEHAN, DANIEL GERARD | VICE PRESIDENT RECRUITING | 2264556 |
| MURPHY, RICHARD MAURICE | EXECUTIVE VICE PRESIDENT | 4893748 |
| NOETHEN, BRITTANY MICHELLE | CHIEF TECHNOLOGY OFFICER | 2610543 |
| RUPP, BRIAN MICHAEL | CHIEF FINANCIAL OFFICER/TREASURER | 6721718 |
| SCHAUL, JOANNA MARIE | CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 4947759 |
| WILCOX, RANDY AUSTIN | VICE PRESIDENT COMPLIANCE/OSJ MANAGER | 4346998 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
