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JZ

Jane E. Zucker

STONEX SECURITIES
MIAMI, FL
Some features on this profile are disabled
CRD#: 4509320
JZ

Professional summary

Jane Elisa Zucker, who also goes by Jane E Zucker, is a registered financial professional currently at STONEX SECURITIES INC. located in Miami, Florida.

Jane is registered as a RR (Registered Representative) and started their career in finance in 2002. Jane has worked at 5 firms and has passed the Series 66, Series 99TO, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jane E Zucker

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 Jane Elisa Zucker'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

September 12, 2014 - Present

STONEX SECURITIES INC.

BD
CRD#: 18456
MIAMI, FL
Past

February 8, 2013 - September 12, 2014

WRP INVESTMENTS, INC.

BD
CRD#: 7365
MIAMI, FL
Past

January 9, 2004 - January 29, 2013

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
MIAMI, FL
Past

July 15, 2003 - December 19, 2003

LLOYD, SCOTT & VALENTI, LTD.

RIA
CRD#: 23640
MIAMI, FL
Past

May 9, 2003 - December 19, 2003

LLOYD, SCOTT & VALENTI, LTD.

BD
CRD#: 23640
AUSTIN, TX
Past

July 16, 2002 - April 28, 2003

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
MIAMI, FL
Past

April 29, 2002 - April 28, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(9/12/2014)
RR
Connecticut
(9/12/2014)
RR
Florida
(9/12/2014)
RR
Georgia
(3/19/2020)
RR
Illinois
(4/22/2015)
RR
Maryland
(2/5/2025)
RR
Massachusetts
(3/5/2018)
RR
Mississippi
(11/13/2023)
RR
New Jersey
(9/12/2014)
RR
North Carolina
(9/12/2014)
RR
Rhode Island
(3/10/2015)
RR
South Carolina
(9/29/2023)
RR
Vermont
(9/10/2021)
RR
Virginia
(9/12/2014)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/6/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 6/12/2002
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/26/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/26/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
STONEX SECURITIES INC.
C G MATON FINANCIAL SERVICES , INC. | STONEX WEALTH MANAGEMENT | STONEX SECURITIES INC. | STERNE AGEE FINANCIAL SERVICES, INC. | SOUTHEAST NETWORK EQUITIES GROUP, INC. | SAL FINANCIAL SERVICES, INC. | SA STONE WEALTH MANAGEMENT INC. | INVESTECH CAPITAL CORPORATION | CAPITAL GROWTH MANAGEMENT INC.

CRD#: 18456 / SEC#: , 8-36638

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

Main Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Mailing Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Phone number
(800) 292-2411
Established
Delaware since 01/22/2002
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# 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#
STONEX GROUP INC.100% OWNER
BOLTE, DAVID ALBERTSECRETARY2711410
CARTER, JAY WILSONPRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR2412541
DAVISON, STUART ANDREWDIRECTOR7824576
DUNAWAY, WILLIAM JOHNDIRECTOR6505923
HUGO, MARK ERICPOO2177412
LYON, CHARLES MARTINDIRECTOR4000852
MAURER, MARK LDIRECTOR4234406
MCAUSLAN, JAMES BUCHANANDIRECTOR7658964
PARKER, BRIAN LANECHIEF COMPLIANCE OFFICER, ROSFP4635848
PORZIO, JOSEPH JOHNCFO / PFO / FINOP1319702
RICHARDSON, MARCUS BRYANTCHIEF OPERATING OFFICER3037932
SMITH, PHILIP ANDREWDIRECTOR, CHAIRMAN OF THE BOARD4999097

Disclosures

Regulatory Event9
Arbitration4

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

STONEX SECURITIES INC.

CRD#: 18456Miami, FL

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