Ian H. Zwicker

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CRD#: 477477

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.

Ian Harvey Zwicker was a registered financial professional .

Ian is a previously registered financial professional and started their career in finance in 1973. Ian had worked at 9 firms and has passed the Series 63, Series 79, PC, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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

February 5, 2013 - July 15, 2013

W.R. HAMBRECHT + CO., LLC

CRD#: 45040

SAN FRANCISCO, CA

Past

January 27, 1999 - June 16, 2000

W.R. HAMBRECHT + CO., LLC

CRD#: 45040

SAN FRANCISCO, CA

Past

February 8, 1991 - February 10, 1999

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

September 5, 1985 - January 29, 1991

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

June 11, 1981 - August 19, 1985

HAMBRECHT & QUIST LLC

CRD#: 940

Past

October 6, 1978 - August 1, 1981

FINANCIAL SQUARE PARTNERS

CRD#: 1541

Past

September 26, 1978 - December 3, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

January 27, 1976 - September 26, 1978

WHITE, WELD & CO. INCORPORATED

CRD#: 6802

Past

May 30, 1974 - October 5, 1975

SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.

CRD#: 4341

Past

April 26, 1974 - June 15, 1974

MOSELEY, HALLGARTEN & ESTABROOK INC.

CRD#: 6679

Past

August 1, 1973 - April 26, 1974

HALLGARTEN & CO.

CRD#: 382

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

Series 63

Date: 6/8/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79

Date: 2/4/2013

Investment Banking Registered Representative Examination

General Industry/Product Exam

PC

Date: 11/2/1979

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 7/26/1973

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/26/1995

General Securities Principal Examination

Current Firm

W.R. HAMBRECHT + CO., LLC

W.R. HAMBRECHT & CO., LLC | W.R. HAMBRECHT + CO., LLC | W.R. HAMBRECHT & COMPANY, LLC

CRD#: 45040 / SEC#: , 8-50935

Withdrawn by SEC on 08/14/2018

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 05/24/1999

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
HAMBRECHT PARTNERS HOLDINGS, LLC	OWNER
AARON, STEVEN ROSS	CHIEF COMPLIANCE OFFICER	1298072
HULLAR, JOHN PAUL	CHAIRMAN & MANAGING PARTNER	711679
YATES, EUGENE ALAN	CHIEF FINANCIAL OFFICER/FINOP	2851324

Disclosures

Regulatory Event	10
Civil Event	3

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.

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Advisor Monitoring

Firm Stability Insights

Ian H. Zwicker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

W.R. HAMBRECHT + CO., LLC

PERSHING LLC

FINANCIAL SQUARE PARTNERS

HAMBRECHT & QUIST LLC

FINANCIAL SQUARE PARTNERS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WHITE, WELD & CO. INCORPORATED

SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.

MOSELEY, HALLGARTEN & ESTABROOK INC.

HALLGARTEN & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/8/1982

Series 79

Date: 2/4/2013

PC

Date: 11/2/1979

Series 1

Date: 7/26/1973

Series 24

Date: 1/26/1995

Current Firm

W.R. HAMBRECHT + CO., LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

W.R. HAMBRECHT + CO., LLC

TRUST BUT VERIFY

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