Eugene P. Szaj

DISCIPLINED FINANCIAL SERVICES

New Berlin, WI

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CRD#: 441666

Professional summary

Eugene Paul Szaj is a registered financial advisor currently at DISCIPLINED FINANCIAL SERVICES, INC. located in New Berlin, Wisconsin.

Eugene is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1973. Eugene has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 7, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Eugene Paul Szaj's 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, 2015 - Present

DISCIPLINED FINANCIAL SERVICES, INC.

RIA

CRD#: 174947

New Berlin, WI

Past

August 1, 2013 - October 12, 2015

NATIONS FINANCIAL GROUP, INC.

RIA

CRD#: 44181

BROOKFIELD, WI

Past

January 29, 2009 - March 6, 2012

NATIONS FINANCIAL GROUP, INC.

RIA

CRD#: 44181

BROOKFIELD, WI

Past

June 22, 2005 - July 12, 2006

WIPFLI HEWINS INVESTMENT ADVISORS LLC

RIA

CRD#: 109972

FOSTER CITY, CA

Past

August 19, 2003 - August 19, 2003

NATIONS FINANCIAL GROUP, INC.

RIA

CRD#: 44181

BROOKFIELD, WI

Past

August 1, 2003 - October 12, 2015

NATIONS FINANCIAL GROUP, INC.

CRD#: 44181

BROOKFIELD, WI

Past

July 20, 1999 - December 31, 2013

DISCIPLINED FINANCIAL SERVICES, INC

RIA

CRD#: 42727

BROOKFIELD, WI

Past

April 27, 1995 - July 31, 2003

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

BLOOMINGTON, IL

Past

November 13, 1989 - April 28, 1995

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

March 15, 1982 - November 27, 1989

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 26, 1978 - March 26, 1982

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

July 7, 1976 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

Past

March 23, 1973 - September 21, 1976

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

CRD#: 2873

Past

March 23, 1973 - September 21, 1976

MONY SECURITIES CORPORATION

CRD#: 4386

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(11/19/2024)

IAR

Illinois
(1/4/2016)

IAR

Wisconsin
(10/20/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/3/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/20/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/12/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 12/12/1981

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 9/8/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 7/17/1976

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 3/21/1973

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/18/2005

General Securities Principal Examination

Current Firm

DISCIPLINED FINANCIAL SERVICES, INC.

CRD#: 174947 / SEC#:

Florida

Registered Investment Advisory firm - (11/19/2024 Approved)

Illinois

Registered Investment Advisory firm - (1/4/2016 Approved)

Texas

Registered Investment Advisory firm - (12/4/2017 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/20/2015 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

New Berlin, WI

Mailing Address

P.o. Box 1408, Brookfield, WI 53008-1408

Phone number

(262) 784-6650

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	92
AUM (Assets Under Management)	$ 10,652,560

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.

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Firm Stability Insights

Eugene P. Szaj

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eugene Paul Szaj's CRS (Customer Relationship Summary).

Certified licenses

Experience

DISCIPLINED FINANCIAL SERVICES, INC.

NATIONS FINANCIAL GROUP, INC.

NATIONS FINANCIAL GROUP, INC.

WIPFLI HEWINS INVESTMENT ADVISORS LLC

NATIONS FINANCIAL GROUP, INC.

NATIONS FINANCIAL GROUP, INC.

DISCIPLINED FINANCIAL SERVICES, INC

FIRST MIDWEST SECURITIES, INC.

DAIN RAUSCHER INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

MONY SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 2/3/1995

Series 63

Date: 10/20/1980

SIE

Date: 10/12/2015

Series 5

Date: 12/12/1981

PC

Date: 9/8/1977

Series 7

Date: 7/17/1976

Series 1

Date: 3/21/1973

Series 24

Date: 8/18/2005

Current Firm

DISCIPLINED FINANCIAL SERVICES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DISCIPLINED FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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