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MZ

Michael S. Zard

ATLANTIC - PACIFIC CAPITAL
New York, NY 10022
Some features on this profile are disabled
CRD#: 4944108
MZ

Professional summary

Michael Steven Zard, who also goes by Michael S Zard, is a registered financial professional currently at ATLANTIC - PACIFIC CAPITAL, INC. located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael S Zard

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) - BD

Click below to view Michael Steven Zard's CRS (Customer Relationship Summary).

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

Current

July 19, 2023 - Present

ATLANTIC - PACIFIC CAPITAL, INC.

Office #1: 444 Madison Avenue 34th Floor, New York, NY 10022
BD
CRD#: 38356
New York, NY
Past

December 8, 2021 - July 10, 2023

SERA GLOBAL SECURITIES US LLC

BD
CRD#: 283339
Santa Monica, CA
Past

March 25, 2020 - October 15, 2021

CAMPBELL LUTYENS & CO. INC.

BD
CRD#: 133376
NEW YORK, NY
Past

March 29, 2018 - April 20, 2020

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
SAN DIEGO, CA
Past

February 20, 2014 - March 29, 2018

EATON PARTNERS, LLC

BD
CRD#: 31170
SAN DIEGO, CA
Past

May 9, 2011 - February 19, 2014

ALPHAMAX DISTRIBUTORS, L.L.C.

BD
CRD#: 8258
LA JOLLA, CA
Past

March 26, 2010 - April 8, 2011

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

January 28, 2009 - March 11, 2010

RYDEX ADVISORY SERVICES, LLC

RIA
CRD#: 132735
ROCKVILLE, MD
Past

October 4, 2007 - March 11, 2010

GUGGENHEIM DISTRIBUTORS, LLC

BD
CRD#: 40805
SCHAUMBURG, IL
Past

September 20, 2005 - November 9, 2005

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alaska
(12/17/2024)
RR
Arizona
(7/19/2023)
RR
Arkansas
(7/19/2023)
RR
California
(7/19/2023)
RR
Colorado
(12/17/2024)
RR
Hawaii
(7/19/2023)
RR
Idaho
(7/19/2023)
RR
Massachusetts
(7/19/2023)
RR
Missouri
(7/19/2023)
RR
Montana
(7/19/2023)
RR
Nevada
(12/17/2024)
RR
New Mexico
(12/17/2024)
RR
New York
(7/19/2023)
RR
Oregon
(7/19/2023)
RR
Utah
(7/19/2023)
RR
Washington
(7/19/2023)
RR
Wyoming
(7/19/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/26/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/26/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 7/29/2011
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/13/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/19/2005
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

A-
ATLANTIC - PACIFIC CAPITAL, INC.
ATLANTA - PACIFIC CAPITAL, INC. | ATLANTIC - PACIFIC CAPITAL, INC.

CRD#: 38356 / SEC#: , 8-48198

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Dock Street Suite 404, Stamford, CT 06902
Mailing Address
One Dock Street Suite 404, Stamford, CT 06902
Phone number
(203) 862-9182
Established
Delaware since 02/09/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MANLEY, JAMES EDWARDCHAIRMAN1414509
BOSSONE, ANTHONYCHIEF FINANCIAL OFFICER, PARTNER3269438
BOSSONE, ANTHONYCHIEF COMPLIANCE OFFICER3269438
ELKHATIB, RAED JAMALPRESIDENT AND CHIEF EXECUTIVE OFFICER5124082

Disclosures

Regulatory Event1

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.

Company Information

ATLANTIC - PACIFIC CAPITAL, INC.

CRD#: 38356New York, NY 10022

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