Rinku R. Chandiwala

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CRD#: 4809304

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.

Rinku R Chandiwala, who also goes by Rinku Chandiwala, was a registered financial professional .

Rinku is a previously registered financial professional and started their career in finance in 2004. Rinku had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rinku Chandiwala

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

September 30, 2009 - April 30, 2015

B. C. ZIEGLER AND COMPANY

RIA

CRD#: 61

CHICAGO, IL

Past

July 2, 2009 - April 30, 2015

B. C. ZIEGLER AND COMPANY

CRD#: 61

CHICAGO, IL

Past

August 20, 2004 - July 7, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SCHAUMBURG, IL

Past

July 19, 2004 - July 7, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SCHAUMBURG, IL

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

IAR

Series 66

Date: 8/19/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/30/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/2004

General Securities Representative Examination

Current Firm

B. C. ZIEGLER AND COMPANY

CRD#: 61 / SEC#: 801-19699, 8-94

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

One North Wacker Drive, Suite 2000 Suite 2000, Chicago, IL 60606

Mailing Address

One North Wacker Drive, Suite 2000, Chicago, IL 60606

Phone number

(312) 263-0110

Established

Wisconsin since 02/12/1920

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE 3.30.17 FINAL (3/30/2017)

BCZ ADV PART 2A FINAL 2017 (3/30/2017)

Direct owners and executive officers

Name	Position	CRD#
THE ZIEGLER COMPANIES, INC.	PARENT COMPANY
DAVID, ANGELIQUE ATHIENA	EMD, GENERAL COUNSEL, CORPORATE SECRETARY, COO	5445800
HERMANN, DANIEL JOSEPH	CEO AND PRESIDENT	1790977
JEFFERSON, RYAN T	MANAGING DIRECTOR, CFO & DIRECTOR	5844031
KERR, MARCLETTA R	DIRECTOR, CHIEF COMPLIANCE OFFICER	7463114
STROM, KEVIN LOUIS	EMD HEAD OF CAPITAL MARKETS	1595516

Disclosures

Regulatory Event	7
Civil Event	2
Arbitration	2

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Wisconsin	ERA - Withdrawn	3/3/2025

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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Rinku R. Chandiwala

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

B. C. ZIEGLER AND COMPANY

B. C. ZIEGLER AND COMPANY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 8/19/2004

SIE

Date: 4/30/2015

Series 7

Date: 7/16/2004

Current Firm

B. C. ZIEGLER AND COMPANY

Contact information

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Exempt reporting advisers

Red Flags

Company Information

B. C. ZIEGLER AND COMPANY

TRUST BUT VERIFY

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