Thomas C. Zanowic
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.
Thomas Charles Zanowic, who also goes by Thomas C Zanowic, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2015. Thomas 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
October 30, 2018 - December 12, 2022
ZANOWIC INVESTMENTS LLC
December 23, 2016 - April 18, 2017
HIGHTOWER SECURITIES, LLC
December 21, 2016 - April 18, 2017
HIGHTOWER ADVISORS, LLC
April 15, 2016 - November 2, 2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 15, 2016 - November 2, 2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 31, 2015 - May 10, 2016
LPL FINANCIAL LLC
July 16, 2015 - May 10, 2016
LPL FINANCIAL LLC
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
ZANOWIC INVESTMENTS LLC
CRD#: 298925 / SEC#:
Contact information
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.
