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George C Zacarias

CRD# 4665230·Registered 2008 - 2021
Previously Registered: Being a previously registered professional could mean that George 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.

Professional Summary

George C Zacarias, who also goes by George Christopher Zacarias, was a registered financial advisor. George was a previously registered financial professional and started their career in finance 2008 - 2021. George had worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 30 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

George Christopher Zacarias

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

17 years in the financial services industry

Current & Past Employments

REGIMENT SECURITIES, LLC.·CRD# 311302
BD
Chicago, IL
July 16, 2021 - September 2, 2021
SG AMERICAS SECURITIES, LLC·CRD# 128351
BD
Chicago, IL
August 18, 2017 - July 17, 2019
UBS SECURITIES LLC·CRD# 7654
BD
Chicago, IL
December 4, 2008 - August 15, 2017

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Current Firm

RS
REGIMENT SECURITIES, LLC.

REGIMENT SECURITIES, LLC.

CRD#: 311302 / SEC#: 8-70607
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Contact Information

Main Address

420 N. Wabash Avenue, Chicago, IL 60611

Mailing Address

420 N. Wabash Avenue 430, Chicago, IL 60611

Phone Number

(773) 480-7561

Established

Delaware since 09/21/2020

Firm Type

Limited Liability Company

Fiscal Year End

June

Firm Size

Small

FINRA licenses (36 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
REGIMENT, LLC.MEMBER—
BURNHAM, STEPHEN TYLERSHAREHOLDER/PRINCIPAL4663613
D&A CAPITAL PARTNERS LLCMEMBER—
CAVANAUGH, MICHAEL ALANCEO/CCO4794844
KHOURY, ROBERT JACKFINOP/PFO/POO2917060

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2009About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 2008About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jul 2018About the Series 24 exam

Series 30 — NFA Branch Manager Examination

Passed Feb 2016About the Series 30 exam

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CRS (Client Relationship Summary)

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

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