Louis J. 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 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Louis James Zone's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 20, 2010 - Present
WESTMINSTER FINANCIAL ADVISORY CORP
May 5, 2009 - Present
WESTMINSTER FINANCIAL SECURITIES, INC.
Office #1: 50 Chestnut Street Suite A-200, Beavercreek, OH 45440February 3, 2006 - May 8, 2009
LPL FINANCIAL LLC
February 3, 2006 - May 8, 2009
LPL FINANCIAL LLC
March 28, 2000 - February 8, 2006
OSAIC FS, INC.
April 4, 1985 - February 8, 2006
OSAIC FS, INC.
April 21, 1970 - November 30, 1978
MAYFLOWER SECURITIES CO., INC.
Primary Firm SEC Registration
WESTMINSTER FINANCIAL ADVISORY CORP
CRD#: 110283 / SEC#: 801-29690
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/1/2010)
(8/18/2022)
(5/5/2009)
(5/5/2009)
(5/5/2009)
(8/20/2010)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 4/15/1970
Registered Representative ExaminationFINRA
Current Firm
WESTMINSTER FINANCIAL ADVISORY CORP
CRD#: 110283 / SEC#: 801-29690
Contact information
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,255 |
| AUM (Assets Under Management) | $ 1,224,901,646 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2024 | ||
| 02/26/2024 | ||
| 12/09/2022 |
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.
