Roy C. Zentz
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.
Roy Clifton Zentz, who also goes by Leroy Clifton Zentz, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1969. Roy had worked at 18 firms and has passed the Series 63, Series 55, PC, Series 1, Series 53, Series 4 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 30, 1998 - October 22, 2003
INTERCOASTAL FINANCIAL SERVICES CORP.
July 16, 1996 - December 14, 1998
JW GENESIS CLEARING CORP.
May 23, 1996 - June 14, 1996
JWGENESIS SECURITIES, INC.
July 13, 1994 - June 14, 1996
EARLYBIRDCAPITAL, INC.
June 11, 1992 - July 14, 1994
LAFFER, WARREN AND CO., INC.
November 15, 1991 - June 29, 1992
JOSEPH CHARLES & ASSOC., INC.
February 26, 1991 - September 27, 1991
DOMINICK & DICKERMAN LLC
May 23, 1990 - November 16, 1990
DOMINICK & DICKERMAN LLC
January 2, 1990 - May 31, 1990
PRESCOTT, BALL & TURBEN, INC.
August 7, 1987 - January 2, 1990
GULFSTREAM FINANCIAL ASSOCIATES, INC.
July 2, 1987 - September 1, 1987
BOETTCHER & COMPANY, INC.
November 23, 1984 - June 5, 1987
JW GENESIS CLEARING CORP.
June 20, 1984 - November 9, 1984
DEUTSCHE IXE, LLC
September 20, 1983 - July 6, 1984
SHERWOOD CAPITAL, INC.
December 17, 1979 - September 16, 1983
JOHNSTON, LEMON & CO. INCORPORATED
February 24, 1978 - January 14, 1980
MORGAN STANLEY DW INC.
February 22, 1978 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
November 17, 1971 - March 1, 1978
FIRST UNION CAPITAL MARKETS CORP.
March 8, 1971 - January 2, 1972
F I DUPONT GLORE FORGAN & CO
March 4, 1969 - May 6, 1971
GOODBODY & CO. INCORPORATED
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 55
Date: 8/31/1998
Limited Representative-Equity Trader ExamPC
Date: 1/6/1978
AMEX Put and Call ExamSeries 1
Date: 3/3/1969
Registered Representative ExaminationCurrent Firm
INTERCOASTAL FINANCIAL SERVICES CORP.
CRD#: 45557 / SEC#: , 8-51088
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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