Steven J. Zier
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.
Steven J. Zier, who also goes by Steve Zier, Steven Jonathan Zier, was a registered financial advisor .
Steven is a previously registered financial advisor and started their career in finance in 1965. Steven had worked at 5 firms and has passed the Series 65, Series 63, Series 3, PC, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2007 - December 31, 2012
MORGAN KEEGAN & COMPANY, LLC
May 14, 2007 - December 31, 2012
MORGAN KEEGAN & COMPANY, LLC
November 25, 2003 - May 25, 2007
CITIGROUP GLOBAL MARKETS INC.
July 25, 1991 - May 25, 2007
CITIGROUP GLOBAL MARKETS INC.
August 9, 1978 - July 31, 1991
LEHMAN BROTHERS INC.
June 1, 1973 - December 27, 1978
STEVEN J ZIER & CO., INCORPORATED
February 8, 1965 - June 1, 1973
E. F. HUTTON & COMPANY INC
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
PC
Date: 6/3/1980
AMEX Put and Call ExamSeries 1
Date: 2/5/1965
Registered Representative ExaminationF04
Date: 5/9/1973
Financial Principal ExaminationSeries 00
Date: 4/11/1973
General Securities Principal ExaminationCurrent Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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.
