Jeffrey M. Zananiri
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.
Jeffrey Michael Zananiri, who also goes by Jeffrey Zananiri, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1998. Jeffrey had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2017 - May 4, 2018
VALIC FINANCIAL ADVISORS, INC.
September 28, 2017 - May 4, 2018
VALIC FINANCIAL ADVISORS, INC.
March 2, 2016 - December 19, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 4, 2016 - December 19, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 28, 2014 - November 16, 2015
FIRST NEW YORK SECURITIES L.L.C.
May 29, 2002 - October 28, 2002
PALM BEACH CAPITAL SERVICES GROUP, INC.
March 6, 2001 - May 16, 2002
SCHONFELD SECURITIES, LLC
October 17, 2000 - February 14, 2001
WORLDCO, L.L.C.
July 27, 2000 - October 23, 2000
J.P. MORGAN SECURITIES LLC
April 28, 2000 - August 2, 2000
UBS FINANCIAL SERVICES INC.
April 6, 2000 - May 10, 2000
CIBC WORLD MARKETS CORP.
July 16, 1999 - April 14, 2000
J.P. MORGAN SECURITIES LLC
December 17, 1998 - June 4, 1999
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
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
Series 55
Date: 11/25/2014
Limited Representative-Equity Trader ExamCurrent Firm
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VARIABLE ANNUITY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BURNETTE, CYNTHIA LEA | CHIEF FINANCIAL OFFICER AND TREASURER | 1863103 |
| FORTEY, MICHAEL | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | 2304969 |
| GIBSON, KRISTA DE LOIS | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | 2348708 |
| JOE, CHRISTOPHER CHUCK | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | 2373056 |
| LOGAN, JOHN ALBERT | CHIEF OPERATIONS OFFICER | 4378887 |
| MARCIEL-CARR, THERESA H | VICE PRESIDENT, FIELD SUPERVISION | 5428259 |
| NORRIS, JOHN ERIK | SECRETARY | 8188573 |
| RINK, VERONICA LYNETTE | VICE PRESIDENT, BUSINESS ADMINISTRATION | 4724432 |
Regulatory assets under management
| Total Number of Accounts | 293,993 |
| AUM (Assets Under Management) | $ 26,372,603,709 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/27/2025 | ||
| 04/29/2024 | ||
| 04/28/2023 |
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.
