Richard A. Zackroff
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.
Richard Allen Zackroff was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 9 firms and has passed the Series 65, Series 63, Series 000, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 1996 - November 20, 2023
STONERIDGE PMG ADVISORS, LLC
May 11, 1992 - December 31, 1993
CROSSMARK DISTRIBUTORS, INC.
September 22, 1988 - June 22, 1990
SCHRODER & CO. INC.
February 3, 1987 - September 16, 1988
MORGAN STANLEY DW INC.
October 17, 1984 - January 21, 1987
ALEX. BROWN & SONS INCORPORATED
July 15, 1976 - July 13, 1978
A. G. BECKER INCORPORATED
October 2, 1973 - September 28, 1984
BECKER PARIBAS INCORPORATED
May 4, 1971 - June 7, 1976
BACHE & CO INCORPORATED
November 24, 1970 - October 22, 1975
UNIVERSITY EQUITIES CORPORATION
Primary Firm SEC Registration
STONERIDGE PMG ADVISORS, LLC
CRD#: 107662 / SEC#: 801-52204
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 000
Date: 10/2/1973
General Securities Principal ExaminationSeries 1
Date: 11/16/1970
Registered Representative ExaminationCurrent Firm
STONERIDGE PMG ADVISORS, LLC
CRD#: 107662 / SEC#: 801-52204
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15 |
| AUM (Assets Under Management) | $ 403,678,541 |
Red Flags
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