Zarida M. Brokenborough
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.
Zarida Marie Brokenborough, who also goes by Zarida M Brokenborough, Zarida Brokenborough, Zarida Marie Patron, Zarida Patron, was a registered financial professional .
Zarida is a previously registered financial professional and started their career in finance in 2011. Zarida had worked at 5 firms and has passed the Series 66, 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
April 25, 2017 - May 30, 2019
CAPITAL ANALYSTS
April 24, 2017 - May 30, 2019
LINCOLN INVESTMENT
April 19, 2017 - May 30, 2019
LINCOLN INVESTMENT
December 1, 2014 - August 11, 2016
J.P. MORGAN SECURITIES LLC
December 1, 2014 - August 11, 2016
J.P. MORGAN SECURITIES LLC
September 6, 2013 - October 9, 2014
PNC WEALTH MANAGEMENT LLC
August 30, 2013 - October 9, 2014
PNC WEALTH MANAGEMENT LLC
January 3, 2012 - August 13, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 2011 - August 13, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
