Donald G. Zifchak
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.
Donald George Zifchak was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1969. Donald had worked at 12 firms and has passed the Series 63, SIE, PC, Series 1, Series 000 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
October 28, 2015 - November 23, 2015
WESTERN INTERNATIONAL SECURITIES, INC.
July 16, 2013 - October 30, 2015
BRILL SECURITIES, INC.
July 12, 2011 - June 25, 2013
AEGIS CAPITAL CORP.
July 14, 2008 - December 31, 2010
NWT FINANCIAL GROUP, LLC
January 24, 2007 - June 30, 2008
MAXIMUM FINANCIAL INVESTMENT GROUP, INC.
March 17, 2005 - January 19, 2007
GREAT EASTERN SECURITIES, INC.
June 25, 1998 - March 3, 2005
APB FINANCIAL GROUP, LLC
October 7, 1987 - June 23, 1998
FINANCIAL SQUARE PARTNERS
September 24, 1986 - October 10, 1987
PRUDENTIAL EQUITY GROUP, LLC
January 31, 1983 - June 23, 1998
FINANCIAL SQUARE PARTNERS
January 5, 1981 - February 9, 1983
MORGAN STANLEY & CO. LLC
February 22, 1978 - January 31, 1981
LEHMAN BROTHERS KUHN LOEB INCORPORATED
November 20, 1969 - February 22, 1978
LEHMAN BROTHERS 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
PC
Date: 2/1/1983
AMEX Put and Call ExamSeries 1
Date: 11/17/1969
Registered Representative ExaminationSeries 000
Date: 11/1/1969
General Securities Principal ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
