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JZ

Joseph A. Zaite

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CRD#: 475658
JZ

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.

Joseph Arthur Zaite JR was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1974. Joseph had worked at 9 firms and has passed the Series 65, Series 63, Series 1 and Series 24 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

June 30, 1999 - September 11, 2002

ACUMENT SECURITIES, INC.

BD
CRD#: 7661
SAN FRANCISCO, CA
Past

March 23, 1999 - May 12, 1999

PASSPORT SECURITIES, INC.

BD
CRD#: 38720
BURLINGAME, CA
Past

March 26, 1992 - February 22, 1999

ACUMENT SECURITIES, INC.

BD
CRD#: 7661
SAN FRANCISCO, CA
Past

July 16, 1991 - December 16, 1991

FIFTH THIRD/MAXUS SECURITIES INC

BD
CRD#: 6790
CLEVELAND, OH
Past

March 11, 1988 - October 30, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

July 6, 1983 - August 10, 1984

C. D. ANDERSON & COMPANY, INCORPORATED

BD
CRD#: 6801
Past

November 13, 1979 - August 16, 1982

BECKER PARIBAS INCORPORATED

BD
CRD#: 7635
Past

May 22, 1978 - December 6, 1978

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640
Past

August 2, 1976 - November 29, 1976

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

January 1, 1974 - August 19, 1976

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

BD
CRD#: 572

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
IAR
Series 65
Date: 10/23/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/18/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 12/19/1973
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/31/1998
General Securities Principal Examination

Current Firm

AS
ACUMENT SECURITIES, INC.
ACUMENT SECURITIES, INC. | THOMAS F. WHITE & CO., INCORPORATED

CRD#: 7661 / SEC#: , 8-22999

BD
Terminated by SEC on 02/18/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 06/20/1978
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ACUMENT HOLDING COMPANY, INC.HOLDING COMPANY
ANGLE, ROBERT THOMSONSTOCKHOLDER/CEO
BOLGATZ, MICHAEL GLENNCHIEF LEGAL OFFICER / SECRETARY1868497
CUELLO, MARYANN NARANJACFO2680985
SOUCIE, THOMAS ROYEXECUTIVE VICE PRESIDENT1275689
WHITE, THOMAS FRANKSTOCKHOLDER

Disclosures

Regulatory Event16
Arbitration12

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

ACUMENT SECURITIES, INC.

CRD#: 7661

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