Zachary D. Ross

INDEPENDENT WEALTH NETWORK

Morristown, NJ

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CRD#: 6148569

Professional summary

Zachary D Ross, who also goes by Zachary D Ross, Zachary David Ross, is a registered financial advisor currently at INDEPENDENT WEALTH NETWORK, INC. located in Morristown, New Jersey and EMERSON EQUITY LLC located in Irvine, California.

Zachary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Zachary has worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Zachary D Ross | Zachary David Ross

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.

1)- DBA ROSS CAPITAL MARKETS-INVESTMENT RELATED, 48 CENTER AVENUE, MORRISTOWN, NJ 07960, MARKETING VEHICLE THROUGH WHICH SECURITIES INVESTMENT RELATED BUSINESS IS DONE THROUGH EMERSON EQUITY LLC., CEO/FOUNDING MEMBER, SELLING SECURITIES RELATED PRODUCTS THROUGH BROKER/DEALER EMERSON EQUITY LLC. 160 HRS MONTHLY, 0 HOURS DURING SECURITIES TRADING HOURS, 07/2024 2)-INDEPENDENT WEALTH NETWORK INC., -INVESTMENT RELATED, 2350 NW 128TH STREET URBANDALE, IA 50323, REGISTERED INVESTMENT ADVISORY FIRM, INVESTMENT ADVISORY REPRESENTATIVE, FINANCIAL PLANNING, PORTFOLIO MANAGEMENT AND HELPING PEOPLE REACH THEIR FINANCIAL GOALS OFFERING INVESTMENT SOLUTIONS AND FINANCIAL PRODUCTS THROUGH IWN., 160 HRS MONTHLY, 0 HRS DURING SECURITIES TRADING HOURS, 07/2024

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zachary D Ross's CRS (Customer Relationship Summary).

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

June 28, 2024 - Present

INDEPENDENT WEALTH NETWORK, INC.

RIA

CRD#: 286262

Morristown, NJ

Current

August 21, 2024 - Present

EMERSON EQUITY LLC

Office #1: 9940 Research Drive Suite 200, Irvine, CA 92618

RIA

CRD#: 130032

Irvine, CA

Past

November 24, 2021 - May 2, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

MORRISTOWN, NJ

Past

November 15, 2021 - May 1, 2023

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

JACKSONVILLE, FL

Past

January 7, 2020 - July 27, 2021

EQUITABLE ADVISORS, LLC

CRD#: 6627

MORRISTOWN, NJ

Past

December 16, 2019 - July 27, 2021

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

MORRISTOWN, NJ

Past

September 20, 2016 - September 6, 2018

J.P. MORGAN SECURITIES LLC

CRD#: 79

RIDGEWOOD, NJ

Past

September 16, 2016 - September 6, 2018

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

RIDGEWOOD, NJ

Past

October 13, 2015 - March 18, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MORRISTOWN, NJ

Past

October 6, 2015 - March 18, 2016

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MORRISTOWN, NJ

Past

May 27, 2015 - August 24, 2015

PALADIN WEALTH MANAGEMENT INC.

RIA

CRD#: 151752

HACKENSACK, NJ

Past

April 8, 2015 - August 11, 2015

GARDEN STATE SECURITIES, INC.

CRD#: 10083

HACKENSACK, NJ

Past

October 29, 2014 - March 18, 2015

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

CRANFORD, NJ

Past

October 16, 2014 - March 18, 2015

PARK AVENUE SECURITIES LLC

CRD#: 46173

CRANFORD, NJ

Past

August 29, 2013 - March 14, 2014

MORGAN STANLEY

RIA

CRD#: 149777

RIDGEWOOD, NJ

Past

July 24, 2013 - March 14, 2014

MORGAN STANLEY

CRD#: 149777

RIDGEWOOD, NJ

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".

INDEPENDENT WEALTH NETWORK, INC.

CRD#: 286262 / SEC#: 801-110559

RIA

Registered Investment Advisory firm - (6/1/2017 Approved)

Ohio

Registered Investment Advisory firm - (8/26/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

IAR

California
(7/10/2024)

California
(8/21/2024)

IAR

Florida
(9/12/2024)

IAR

New Jersey
(6/28/2024)

New Jersey
(8/21/2024)

IAR

New York
(7/1/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/23/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/6/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/24/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

INDEPENDENT WEALTH NETWORK, INC.

CRD#: 286262 / SEC#: 801-110559

RIA

Registered Investment Advisory firm - (6/1/2017 Approved)

Ohio

Registered Investment Advisory firm - (8/26/2019 Terminated)

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Contact information

Main Address

2350 Nw 128th St, Urbandale, IA 50323

Mailing Address

Phone number

(515) 461-5123

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

250106 ADV 2A (1/6/2025)

Regulatory assets under management

Total Number of Accounts	2,626
AUM (Assets Under Management)	$ 422,577,169

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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Advisor Monitoring

Firm Stability Insights

Zachary D. Ross

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zachary D Ross's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMERSON EQUITY LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PALADIN WEALTH MANAGEMENT INC.

GARDEN STATE SECURITIES, INC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

INDEPENDENT WEALTH NETWORK, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/23/2013

SIE

Date: 9/6/2018

Series 7

Date: 7/24/2013

FINRA

Current Firm

INDEPENDENT WEALTH NETWORK, INC.

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INDEPENDENT WEALTH NETWORK, INC.

TRUST BUT VERIFY

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