Courtney A. Zanghi
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.
Courtney Anne Zanghi, who also goes by Courtney A Zanghi, was a registered financial professional .
Courtney is a previously registered financial professional and started their career in finance in 2001. Courtney had worked at 8 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2021 - July 19, 2022
ADP BROKER-DEALER, INC.
February 3, 2021 - June 2, 2021
ONEAMERICA SECURITIES, INC.
May 21, 2013 - June 30, 2014
AMERITAS INVESTMENT COMPANY, LLC
June 1, 2012 - May 7, 2013
NEXT FINANCIAL GROUP, INC.
August 4, 2011 - March 28, 2012
SIGNATOR INVESTORS, INC.
June 30, 2006 - August 8, 2011
AMERITAS INVESTMENT COMPANY, LLC
April 17, 2006 - June 30, 2006
CARILLON INVESTMENTS, INC.
October 14, 2004 - April 18, 2006
THE LEADERS GROUP, INC.
December 11, 2001 - October 20, 2004
NYLIFE SECURITIES LLC
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 6TO
Date: 2/3/2021
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
ADP BROKER-DEALER, INC.
CRD#: 37693 / SEC#: , 8-47885
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADP ATLANTIC, LLC | SHAREHOLDER | |
| BARRENECHEA, PATRICIA MARGOT | FINOP | 1715189 |
| BLAKE, JAMES PATRICK | PRESIDENT, DIRECTOR | 3078844 |
| BOYLE, JAMES RICHARD | AML OFFICER | 3137180 |
| DOSPASSOS-KRIEG, KRISTIN ANNE | DIRECTOR | 3079254 |
| HANLEY, JUANITA DAVIDA | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5217439 |
| HODGES, JEFFRY AARON | DIRECTOR | 5865575 |
| HUREAU, MICHAEL RAY | DIRECTOR | 5990787 |
| MCCUE, TERRANCE | RISK MANAGEMENT OFFICER | 7259942 |
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.
