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WZ

Wayne E. Zorger

UBS FUND SERVICES (USA) LLC
Hartford, CT 06103
Some features on this profile are disabled
CRD#: 4301149
WZ

Professional summary

Wayne Edward Zorger JR., who also goes by Wayne Edward Zorger Jr., is a registered financial professional currently at UBS FUND SERVICES (USA) LLC located in Hartford, Connecticut.

Wayne is registered as a RR (Registered Representative) and started their career in finance in 2000. Wayne has worked at 4 firms and has passed the SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Wayne Edward Zorger Jr.

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Wayne Edward Zorger JR.'s CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 19, 2006 - Present

UBS FUND SERVICES (USA) LLC

Office #1: 10 State House Square 12th Floor, Hartford, CT 06103
BD
CRD#: 41848
Hartford, CT
Past

September 2, 2004 - October 3, 2006

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

November 7, 2002 - September 17, 2004

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

December 6, 2000 - December 18, 2001

AELTUS CAPITAL, INC

BD
CRD#: 24928
HARTFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 12/5/2000
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

UF
UBS FUND SERVICES (USA) LLC
ALLEGIS CAPITAL LLC | UBS FUND SERVICES (USA) LLC | UBS ASSET MANAGEMENT, REAL ESTATE - US

CRD#: 41848 / SEC#: , 8-49596

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
10 State House Square 12th Floor, Hartford, CT, 06103-3604
Mailing Address
10 State House Square 12th Floor, Hartford, CT, 06103-3604
Phone number
(860) 616-9000
Established
Delaware since 06/30/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
UBS REALTY INVESTORS LLCMEMBER
HORAN, KATHLEEN ELIZABETHFINOP/CFO5188874
KAPILOFF, STEVEN MARKGENERAL COUNSEL/SECRETARY6363927
O'SHEA, THOMAS JAMESPRESIDENT/CEO4803329
PILE, NICHOLAS SIMONCHIEF COMPLIANCE OFFICER2727759

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.

Company Information

UBS FUND SERVICES (USA) LLC

CRD#: 41848Hartford, CT 06103

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