Dirk A. Zwiep
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.
Dirk Alan Zwiep, CIMA®, who also goes by Dirk Alan Zweip, Dirk Alan Zweir, was a registered financial professional .
Dirk is a previously registered financial professional and started their career in finance in 1999. Dirk had worked at 3 firms and has passed the Series 65, Series 63, SIE 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
May 13, 2015 - January 5, 2023
CAPTRUST WEALTH ADVISORS
June 20, 2002 - April 2, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 15, 2002 - April 2, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 3, 2002 - June 21, 2002
CAPTRUST FINANCIAL ADVISORS, LLC
December 23, 1999 - June 15, 2002
CAPTRUST FINANCIAL ADVISORS, LLC
Primary Firm SEC Registration
CAPTRUST WEALTH ADVISORS
CRD#: 173736 / SEC#: 801-80687
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
CAPTRUST WEALTH ADVISORS
CRD#: 173736 / SEC#: 801-80687
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,912 |
| AUM (Assets Under Management) | $ 1,889,548,733 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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