Steven Zoric
Professional summary
Steven Zoric is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Zoric's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 16, 2023 - Present
C. L. KING & ASSOCIATES, INC.
Office #1: Nine Elk Street, Albany, NY 12207November 6, 2007 - August 27, 2020
NOMURA SECURITIES INTERNATIONAL, INC.
October 15, 2001 - November 6, 2007
MAN INVESTMENTS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/30/2023)
(8/7/2023)
(7/15/2023)
(2/19/2025)
(10/30/2023)
Exams
Series 52TO
Date: 10/15/2025
Municipal Securities Representative ExaminationSeries 57TO
Date: 10/3/2024
Securities Trader ExamSeries 79TO
Date: 6/27/2024
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 7/21/2022
General Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
C. L. KING & ASSOCIATES, INC.
CRD#: 6183 / SEC#: , 8-17025
Contact information
FINRA licenses (36 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 | 7 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
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