SZ
Stephen J. Zarubnicky
HENNION & WALSH ASSET MANAGEMENT
Parsippany, NJ 07054
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CRD#: 5094848
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Professional summary
Stephen James Zarubnicky is a registered financial advisor currently at HENNION & WALSH ASSET MANAGEMENT, INC. located in Parsippany, New Jersey and HENNION & WALSH, INC. located in Parsippany, New Jersey.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Stephen has worked at 4 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 6 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen James Zarubnicky'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®
NoneExperience
Current
February 25, 2011 - Present
HENNION & WALSH ASSET MANAGEMENT, INC.
Office #1: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054RIA
CRD#: 126236
Parsippany, NJ
Current
February 25, 2011 - Present
HENNION & WALSH, INC.
Office #1: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054Office #2: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018BD
CRD#: 25766
Parsippany, NJ
Past
February 5, 2010 - February 11, 2011
MORGAN STANLEY
RIA
CRD#: 149777
RIDGEWOOD, NJ
Past
January 1, 2010 - February 11, 2011
MORGAN STANLEY
BD
CRD#: 149777
RIDGEWOOD, NJ
Past
June 14, 2006 - November 3, 2009
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
PURCHASE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
H&
HENNION & WALSH ASSET MANAGEMENT, INC.
HENNION & WALSH ASSET MANAGEMENT, INC.
CRD#: 126236 / SEC#: 801-61977
RIA
Registered Investment Advisory firm - (5/2/2003 Approved)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.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
Alabama(6/17/2020)
RR
Arizona(5/29/2013)
RR
Arkansas(1/21/2020)
RR
California(2/25/2011)
RR
Colorado(4/9/2013)
RR
Connecticut(2/25/2011)
RR
Delaware(6/17/2022)
RR
Florida(2/25/2011)
RR
Georgia(5/3/2013)
RR
Hawaii(8/22/2013)
RR
Idaho(1/21/2022)
RR
Illinois(2/14/2013)
RR
Indiana(4/18/2013)
RR
Iowa(2/25/2014)
RR
Kentucky(3/10/2020)
RR
Louisiana(5/19/2016)
RR
Maine(5/28/2021)
RR
Maryland(3/11/2013)
RR
Massachusetts(3/18/2013)
RR
Michigan(9/5/2013)
RR
Minnesota(1/8/2015)
RR
Mississippi(9/14/2022)
RR
Missouri(5/7/2014)
RR
Nebraska(5/9/2024)
RR
Nevada(5/14/2021)
RR
New Jersey(2/25/2011)
IAR
New Jersey(2/25/2011)
RR
New York(2/25/2011)
RR
North Carolina(5/14/2014)
RR
North Dakota(5/14/2014)
RR
Ohio(2/25/2011)
RR
Oklahoma(2/22/2018)
RR
Oregon(3/13/2013)
RR
Pennsylvania(2/25/2011)
RR
Rhode Island(10/13/2021)
RR
South Carolina(1/7/2014)
RR
South Dakota(6/17/2014)
RR
Tennessee(1/24/2013)
RR
Texas(4/23/2013)
RR
Utah(6/11/2019)
RR
Vermont(11/11/2022)
RR
Virginia(1/22/2014)
RR
Washington(3/16/2023)
RR
West Virginia(2/22/2017)
RR
Wisconsin(3/6/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
H&
HENNION & WALSH ASSET MANAGEMENT, INC.
HENNION & WALSH ASSET MANAGEMENT, INC.
CRD#: 126236 / SEC#: 801-61977
RIA
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Contact information
Main Address
2001 Route 46 Waterview Plaza, Parsippany, NJ 07054
Mailing Address
Phone number
(973) 299-8989
Established
Firm type
Fiscal year end
# of Employees
75
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,423 |
| AUM (Assets Under Management) | $ 590,106,063 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2024 | ||
| 10/27/2023 | ||
| 09/28/2022 |
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.
