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Sebastian Zimmardo

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CRD#: 476607
SZ

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.

Sebastian Zimmardo was a registered financial professional .

Sebastian is a previously registered financial professional and started their career in finance in 1970. Sebastian had worked at 8 firms and has passed the Series 63, Series 7, PC, Series 1 and Series 8 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

August 21, 1998 - February 10, 1999

STERLING ENTERPRISES GROUP, INC.

BD
CRD#: 44915
ST. PETERSBURG, FL
Past

October 11, 1996 - August 21, 1998

BRAUER & ASSOCIATES, INC.

BD
CRD#: 18278
ST. PETERSBURG, FL
Past

June 3, 1992 - August 21, 1995

SPELMAN & CO., INC.

BD
CRD#: 10232
PHOENIX, AZ
Past

June 11, 1991 - May 1, 1992

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

BD
CRD#: 5774
Past

April 11, 1990 - April 12, 1991

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

March 1, 1979 - February 11, 1980

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
Past

May 12, 1971 - February 7, 1990

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

March 30, 1970 - May 15, 1971

HARROS LANE & DEAN INC

BD
CRD#: 1000002

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
RR
Series 63
Date: 6/17/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/17/1979
General Securities Representative Examination
General Industry/Product Exam
RR
PC
Date: 2/1/1979
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 9/13/1960
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 4/11/1986
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

SE
STERLING ENTERPRISES GROUP, INC.
G.G. FINANCIAL CORP. | STERLING ENTERPRISES GROUP, INC.

CRD#: 44915 / SEC#: , 8-50876

BD
Terminated by SEC on 02/15/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 02/25/1998
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ALYN TOWNE III, LPOWNER
GREGG, DAVID JOSEPHVP/CCO/SROP/CROP/AML CO/SUPERVISOR OF OSJ/BRANCHES1500899
TOWNE, ALYN LEE IIIPRESIDENT/CEO/CFO/DESIGNATED MSP2552744

Disclosures

Arbitration2

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

STERLING ENTERPRISES GROUP, INC.

CRD#: 44915

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