Richard L. Zorn
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.
Richard Laurence Zorn was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1971. Richard had worked at 10 firms and has passed the Series 65, Series 63, SIE, 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
November 21, 2018 - December 31, 2018
WESTERN INTERNATIONAL SECURITIES, INC.
January 2, 2004 - December 31, 2018
NORTHEAST SECURITIES, LLC
January 2, 2001 - November 28, 2003
THE BENCHMARK COMPANY, LLC
July 20, 1993 - December 31, 2000
THE BENCHMARK COMPANY, INC.
March 11, 1993 - October 14, 1993
AXIOM CAPITAL MANAGEMENT, INC.
November 14, 1978 - November 23, 1993
BALIS & ZORN INC.
September 21, 1976 - August 25, 1978
CIBC WORLD MARKETS CORP.
April 23, 1975 - September 18, 1976
LEHMAN BROTHERS INCORPORATED
October 24, 1974 - March 20, 1975
ABRAHAM & COL INC
December 17, 1971 - June 8, 1974
ULTRAFIN INTERNATIONAL CORPORATION
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
Series 1
Date: 12/4/1967
Registered Representative ExaminationF04
Date: 6/15/1978
Financial Principal ExaminationSeries 00
Date: 7/31/1972
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.
