George C. Zacarias
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.
George C Zacarias, who also goes by George Christopher Zacarias, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 2008. George had worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2021 - September 2, 2021
REGIMENT SECURITIES, LLC.
August 18, 2017 - July 17, 2019
SG AMERICAS SECURITIES, LLC
December 4, 2008 - August 15, 2017
UBS SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
REGIMENT SECURITIES, LLC.
CRD#: 311302 / SEC#: , 8-70607
Contact information
FINRA licenses (33 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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