Louis James Zone
Professional Summary
Louis James Zone, who also goes by Louis J Zone, is a registered financial advisor currently at WESTMINSTER FINANCIAL ADVISORY CORP located in Hudson, Florida and WESTMINSTER FINANCIAL SECURITIES, INC. located in Beavercreek, Ohio. Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Louis has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 6, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Louis James Zone, Louis J Zone
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures on record.
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.
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Years of Experience
56 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ADVANCED FINANCIAL ADVISORS LLC | WESTMINSTER FINANCIAL ADVISORY CORP | TUDOR FINANCIAL | THE FINANCIAL SHERPA | SMITH AND COMPNAY | SHOOP WEALTH MANAGEMENT | SBC INVESTMENT SERVICES | INVESTMENT SERVICES OF HARTFORD | INNOVATIVE INVESTMENTS | GOLDBERG LARKIN | AMERICAN NETWORK
Contact Information
Main Address
50 Chestnut Street Suite A-400, Beavercreek, OH 45440Phone Number
(937) 898-5010# of Employees
43SEC notice filing (50 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
3,337AUM (Assets Under Management)
$1,361,688,522Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/11/2025 | Cover Page | Report |
| 11/14/2024 | Cover Page | Report |
| 02/26/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ADVANCED FINANCIAL ADVISORS LLC | WESTMINSTER FINANCIAL ADVISORY CORP | TUDOR FINANCIAL | THE FINANCIAL SHERPA | SMITH AND COMPNAY | SHOOP WEALTH MANAGEMENT | SBC INVESTMENT SERVICES | INVESTMENT SERVICES OF HARTFORD | INNOVATIVE INVESTMENTS | GOLDBERG LARKIN | AMERICAN NETWORK
State Registrations and Notice Filings
(9/1/2010)
(8/18/2022)
(5/5/2009)
(5/5/2009)
(8/20/2010)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 1985About the Series 6 examSeries 1 — Registered Representative Examination
Passed Apr 1970Series 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Nov 1999About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Louis James Zone's CRS (Customer Relationship Summary).
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