Steven Zoric
Professional Summary
Steven Zoric is a registered financial advisor currently at C. L. KING & ASSOCIATES, INC. located in Albany, New York. Steven is registered as a RR (Registered Representative) and started their career in finance in 2001. Steven has worked at 3 firms and has passed the Series 63, Series 52TO, Series 57TO, Series 79TO, Series 7TO, SIE, Series 3, Series 7, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
C. L. KING & ASSOCIATES, INC.
Contact Information
Main Address
Nine Elk Street, Albany, NY 12207Mailing Address
Nine Elk Street, Albany, NY 12207Phone Number
(518) 431-3555Established
New York since 03/03/1972Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (36 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEIR, CANDACE KING | PRESIDENT/DIRECTOR, CEO | 269796 |
| WEIR, AMELIA FARLEY | SHAREHOLDER | 1497338 |
| WEIR, KATHERINE BROUSSARD | SHAREHOLDER | 1497339 |
| GIMON, RICHARD JAMES | CHIEF COMPLIANCE OFFICER, DIRECTOR | 3217139 |
| MCMILLEN, PETER JOHN | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2061930 |
| ZORIC, STEVEN | COO | 4074487 |
Disclosures
Regulatory Event
7Arbitration
2Bond
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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.
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State Registrations and Notice Filings
(10/30/2023)
(8/7/2023)
(7/15/2023)
(2/19/2025)
(10/30/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Oct 2025About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jun 2024About the Series 79TO examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Steven Zoric's CRS (Customer Relationship Summary).
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