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LZ

Lance Zimmerman

Some features on this profile are disabled
CRD#: 4371497
LZ

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.

Lance Zimmerman was a registered financial professional .

Lance is a previously registered financial professional and started their career in finance in 2001. Lance had worked at 14 firms and has passed the Series 27 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 18, 2017 - October 6, 2017

PSG EXECUTIONS, INC.

BD
CRD#: 119564
ENGLEWOOD CLIFFS, NJ
Past

January 1, 2015 - November 9, 2015

PSG EXECUTIONS, INC.

BD
CRD#: 119564
FORT LEE, NJ
Past

January 1, 2015 - November 9, 2015

PRINCETON SECURITIES GROUP, LLC

BD
CRD#: 41233
FORT LEE, NJ
Past

April 23, 2010 - July 19, 2011

CENTRADE SECURITIES CORP.

BD
CRD#: 131914
NETANYA,
Past

April 15, 2010 - January 17, 2013

ILLUSTRO TRADING, LLC

BD
CRD#: 32792
NEW YORK, NY
Past

December 10, 2008 - December 12, 2011

GLOBAL DIRECT EQUITIES, LLC

BD
CRD#: 124514
NEW YORK, NY
Past

May 15, 2008 - February 2, 2009

EMPIRE EXECUTIONS, INC.

BD
CRD#: 44957
NEW YORK, NY
Past

February 2, 2007 - August 29, 2007

TRINITY TRADING CORP.

BD
CRD#: 122553
NEW YORK, NY
Past

November 22, 2006 - June 23, 2008

CJM SECURITIES, INC.

BD
CRD#: 110706
NEW YORK, NY
Past

September 19, 2006 - August 31, 2007

CONDATA FINANCIAL

BD
CRD#: 108715
NEW YORK, NY
Past

February 7, 2003 - December 1, 2006

TROY SECURITIES, INC.

BD
CRD#: 122241
NEW YORK, NY
Past

July 10, 2002 - October 31, 2006

SILVERMAN SECURITIES GROUP, INC.

BD
CRD#: 32763
NEW YORK, NY
Past

October 30, 2001 - May 6, 2002

AJI SECURITIES CORP.

BD
CRD#: 47128
NEW YORK, NY
Past

August 20, 2001 - December 4, 2001

SEQUAMS TRADING CORP.

BD
CRD#: 103993
NEW YORK, NY
Past

March 7, 2001 - July 17, 2002

MONACO BROKERAGE CORPORATION

BD
CRD#: 33151
NEW YORK, NY

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

Principal/Supervisory Exam
RR
Series 27
Date: 6/11/2001
Financial and Operations Principal Examination

Current Firm

PE
PSG EXECUTIONS, INC.
PSG EXECUTIONS, INC.

CRD#: 119564 / SEC#: , 8-65194

BD
Terminated by SEC on 12/05/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 08/27/2001
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CIRILLO, ANTHONY NMNNON-VOTING SHAREHOLDER1245191
WILLIS, BENEDICT PATRICKCEO/CHIEF COMPLIANCE OFFICER1261163

Disclosures

Regulatory Event1

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

PSG EXECUTIONS, INC.

CRD#: 119564

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