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AZ

Auric D. Zygala

Some features on this profile are disabled
CRD#: 3135565
AZ

Professional summary

Auric D Zygala was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Auric is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, Auric had worked at 4 firms, which includes BANC OF AMERICA INVESTMENT SERVICES INC., WELLS FARGO CLEARING SERVICES LLC, OSAIC WEALTH INC., MORGAN STANLEY DW INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Auric Dane Zygala

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

August 26, 2005 - January 30, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
BALTIMORE, MD
Past

August 26, 2005 - January 30, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BALTIMORE, MD
Past

May 8, 2002 - August 29, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ELDERSBURG, MD
Past

May 7, 2002 - August 29, 2005

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

October 4, 1999 - May 7, 2002

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

December 7, 1998 - July 30, 1999

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, 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: 12/28/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/20/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 12/30/1998
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 12/2/1998
General Securities Representative Examination

Current Firm

BO
BANC OF AMERICA INVESTMENT SERVICES, INC.
BANC OF AMERICA INVESTMENT SERVICES, INC. | NCNB SECURITIES, INC. | NATIONSBANC SECURITIES, INC. | NATIONSBANC INVESTMENTS, INC.

CRD#: 16361 / SEC#: , 8-33805

BD
Terminated by SEC on 12/27/2009
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 06/14/1984
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MERRILL LYNCH & CO., INC.SHAREHOLDER
BENSON, MARK JARRETTPRESIDENT/CEO/DIRECTOR/CHAIRMAN1915552
CALL, JOHN SCOTTSVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE2815968
NEWTH, RONALD JOSEPHCHIEF OPERATING OFFICER/DIRECTOR1454390
OSAKI, ISAACCHIEF LEGAL OFFICER4910551
ROMANO, JOHN GARYCFO/DIRECTOR5078610

Disclosures

Regulatory Event53
Civil Event1
Arbitration68

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

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

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