SZ
Sondra I. Ziegler
WILLIAM JOSEPH CAPITAL MANAGEMENT
Lubbock, TX
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CRD#: 6928483
SZ
Professional summary
Sondra Ilene Ziegler, who also goes by Sandra I Ziegler, is a registered financial advisor currently at WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. located in Lubbock, Texas.
Sondra is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Sondra has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sandra I Ziegler
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). Executive Director - Nathan Ziegler & Associates. Estate planning law firm. Lubbock, TX. not investment-related. Started January 2008. Elder law/estate planning. Oversee day to day operations. 120 hours per month, 4 hours per day during trading hours. 2). Insurance Sales - sales of life, health insurance and annuities. not investment-related. 3). Second Half Strategies, LLC - owner, not investment-related. Lubbock, TX Started February 2013. Entity for receipt of insurance commissions for tax purposes. This entity does not market or sell insurance. 2 hours per month. 4) JNSAAS, LLC, not investment-related. Lubbock TX, 50% owner. Started November 2016. Commercial rental real estate. 2 hours per month. 5) Covered Z, LLC, not investment-related. Lubbock, TX.. 50% owner. Started April 2023. Ranch in west Texas. 3 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view Sondra Ilene Ziegler'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
March 20, 2018 - Present
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
RIA
CRD#: 226535
Lubbock, TX
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".
WJ
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
"WJCMLLC" AND "WJCM" | WILLIAM JOSEPH CAPITAL MANAGEMENT,LLC | WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. | WILLIAM JOSEPH CAPITAL MANAGEMENT LLC | WAYPOINT WEALTH PLANNING AND INVESTMENT ADVISORS | THE ROBERSON TIERNEY FINANCIAL GROUP OF WILLIAM JOSEPH CAPITAL MANAGEMENT, LLC | STATELINE FINANCIAL SERVICES GROUP | LEGACY FINANCIAL GROUP | BOLMGREN RETIREPLAN
CRD#: 226535 / SEC#: 801-119964
RIA
Registered Investment Advisory firm - (12/11/2020 Approved)Connecticut
Registered Investment Advisory firm - (12/6/2021 Terminated)Florida
Registered Investment Advisory firm - (10/29/2021 Terminated)Georgia
Registered Investment Advisory firm - (12/16/2021 Terminated)North Carolina
Registered Investment Advisory firm - (11/1/2021 Terminated)Texas
Registered Investment Advisory firm - (10/29/2021 Terminated)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.Highlighted states indicate IAR registrations
IAR
Texas(3/20/2018)
Current Firm
WJ
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
"WJCMLLC" AND "WJCM" | WILLIAM JOSEPH CAPITAL MANAGEMENT,LLC | WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. | WILLIAM JOSEPH CAPITAL MANAGEMENT LLC | WAYPOINT WEALTH PLANNING AND INVESTMENT ADVISORS | THE ROBERSON TIERNEY FINANCIAL GROUP OF WILLIAM JOSEPH CAPITAL MANAGEMENT, LLC | STATELINE FINANCIAL SERVICES GROUP | LEGACY FINANCIAL GROUP | BOLMGREN RETIREPLAN
CRD#: 226535 / SEC#: 801-119964
RIA
Registered Investment Advisory firm - (12/11/2020 Approved)Connecticut
Registered Investment Advisory firm - (12/6/2021 Terminated)Florida
Registered Investment Advisory firm - (10/29/2021 Terminated)Georgia
Registered Investment Advisory firm - (12/16/2021 Terminated)North Carolina
Registered Investment Advisory firm - (11/1/2021 Terminated)Texas
Registered Investment Advisory firm - (10/29/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
210 Red Stone Hill Road Suite 5, Bristol, CT 06010
Mailing Address
200 West Hartford Street #u, Milford, PA 18337
Phone number
(860) 973-3214
Established
Firm type
Fiscal year end
# of Employees
26
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,153 |
| AUM (Assets Under Management) | $ 465,072,406 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
