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JZ

John A. Zic

Some features on this profile are disabled
CRD#: 6825956
JZ

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.

John Alan Zic JR., who also goes by John Alan Zic Jr, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2017. John had worked at 1 firm and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Alan Zic Jr

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 3, 2017 - August 7, 2018

FORGE MARKETS LLC

BD
CRD#: 166555
San Francisco, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/13/2018
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/16/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/7/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/3/2017
General Securities Representative Examination

Current Firm

FM
FORGE MARKETS LLC
EQUIDATE MARKETS LLC | INDEPENDENT CLIENT ADVISORS LLC | FORGE MARKETS LLC

CRD#: 166555 / SEC#: , 8-69232

BD
Terminated by SEC on 10/25/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/18/2012
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EQUI LLCSOLE MEMBER
PHILLIPS, JENNIFER LCEO4919428
SETARO, CHRISTOPHER MICHAELCCO2635774

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.

Company Information

FORGE MARKETS LLC

CRD#: 166555

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