Adam Zobler
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.
Adam Zobler was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2006. Adam had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2017 - April 30, 2018
GLOBAL SILICON VALLEY SECURITIES LLC
March 7, 2014 - December 31, 2016
HARBOR LIGHT SECURITIES, LLC
October 3, 2012 - March 7, 2014
GENTRY SECURITIES LLC
October 15, 2009 - September 14, 2012
ADVANCED EQUITIES, INC.
May 12, 2008 - March 24, 2009
JESUP & LAMONT SECURITIES CORP
November 15, 2006 - December 23, 2008
EMPIRE FINANCIAL GROUP, INC.
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
Current Firm
GLOBAL SILICON VALLEY SECURITIES LLC
CRD#: 22882 / SEC#: , 8-40028
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICHARDSON, ERIC DANIEL | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | 3182616 |
Disclosures
| Regulatory Event | 1 |
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.
