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ZF

Zachary E. Frost

Some features on this profile are disabled
CRD#: 4457913
ZF

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.

Zachary Eric Frost was a registered financial professional .

Zachary is a previously registered financial professional and started their career in finance in 2001. Zachary had worked at 4 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

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

September 15, 2015 - June 30, 2022

FIDUS SECURITIES, LLC

BD
CRD#: 132882
CHARLOTTE, NC
Past

September 20, 2013 - February 4, 2016

BROOKWOOD ASSOCIATES, L.L.C.

BD
CRD#: 26061
CHARLOTTE, NC
Past

September 6, 2010 - July 16, 2013

LAZARD MIDDLE MARKET LLC

BD
CRD#: 146092
MINNEAPOLIS, MN
Past

November 14, 2001 - May 6, 2005

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
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

State Security Law Exam
RR
Series 63
Date: 4/2/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/3/2010
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 11/13/2001
General Securities Representative Examination

Current Firm

FS
FIDUS SECURITIES, LLC
FIDUS PARTNERS, LLC | FIDUS SECURITIES, LLC

CRD#: 132882 / SEC#: , 8-66656

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

Main Address
4201 Congress Street Suite 250, Charlotte, NC 28209
Mailing Address
4201 Congress Street Suite 250, Charlotte, NC 28209
Phone number
(704) 334-2222
Established
Delaware since 08/05/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (24 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FIDUS PARTNERS, LLCMEMBER
CLARK, PATRICK CANNONCHIEF COMPLIANCE OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER5935896
GRIGG, JOHN HUMPHREYREGISTERED PRINCIPAL1740900
ROSS, JOHN JOSEPH IIREGISTERED PRINCIPAL2419176

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

FIDUS SECURITIES, LLC

CRD#: 132882

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