Thomas S. Zorich

SAWTOOTH CAPITAL LLC

Mahwah, NJ

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CRD#: 5035064

Professional summary

Thomas Scott Zorich is a registered financial advisor currently at SAWTOOTH CAPITAL LLC located in Mahwah, New Jersey.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Thomas has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

SAWTOOTH CAPITAL: PORTFOLIO MANAGER PROVIDING PERSONAL INVESTMENT ADVISORY SERVICES. THE BUSINESS IS LOCATED AT 12 SPRUCE RUN, RAMSEY, NJ 07446. SPEND ABOUT 20 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Scott Zorich'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

September 30, 2009 - Present

SAWTOOTH CAPITAL LLC

RIA

CRD#: 151394

Mahwah, NJ

Past

February 7, 2013 - October 31, 2013

ICAPITAL MARKETS LLC

CRD#: 118219

NEW YORK, NY

Past

July 31, 2012 - June 25, 2013

ACADEMY SECURITIES, INC.

CRD#: 17433

NEW YORK, NY

Past

January 12, 2012 - January 7, 2013

ICAPITAL MARKETS LLC

CRD#: 118219

NEW YORK, NY

Past

May 22, 2006 - December 23, 2011

NEWFORTH PARTNERS, LLC

CRD#: 131142

RAMSEY, NJ

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(9/30/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/25/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/9/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/20/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/17/2008

General Securities Principal Examination

Current Firm

SAWTOOTH CAPITAL LLC

SAWTOOTH CAPITAL | ZORICH, THOMAS S. | SAWTOOTH CAPITAL LLC

CRD#: 151394 / SEC#:

New Jersey

Registered Investment Advisory firm - (9/30/2009 Approved)

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Contact information

Main Address

Mahwah, NJ

Mailing Address

Po Box 809, Ramsey, NJ 07446

Phone number

(201) 747-8035

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Thomas S. Zorich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Scott Zorich's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAWTOOTH CAPITAL LLC

ICAPITAL MARKETS LLC

ACADEMY SECURITIES, INC.

ICAPITAL MARKETS LLC

NEWFORTH PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/2009

Series 63

Date: 6/9/2006

Series 7

Date: 5/20/2006

Series 24

Date: 5/17/2008

Current Firm

SAWTOOTH CAPITAL LLC

Contact information

Documents

Red Flags

Company Information

SAWTOOTH CAPITAL LLC

TRUST BUT VERIFY

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