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NZ

Nicholas M. Zimmerman

ZION CAPITAL LLC
Baton Rouge, LA
Some features on this profile are disabled
CRD#: 7059554
NZ

Professional summary

Nicholas Matthew Zimmerman, who also goes by Nicholas Zimmerman, is a registered financial advisor currently at ZION CAPITAL LLC located in Baton Rouge, Louisiana.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Nicholas has worked at 3 firms and has passed the Series 65, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Nicholas Zimmerman

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.
Mr. Zimmerman has a financial affiliated business as an independent insurance agent. Approximately 5% of his time is spent on these activities. He will offer Clients services from those activities. As an insurance agent, he may receive separate yet typical compensation.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Matthew Zimmerman'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®
None

Experience

Current

May 13, 2020 - Present

ZION CAPITAL LLC

RIA
CRD#: 307421
Baton Rouge, LA
Past

May 1, 2020 - December 31, 2021

ZION CAPITAL LLC

RIA
CRD#: 307421
BATON ROUGE, LA
Past

November 26, 2019 - April 27, 2020

LIVE OAK WEALTH MANAGEMENT, LLC

RIA
CRD#: 306225
COVINGTON, LA
Past

September 13, 2019 - February 3, 2020

SECURITIES AMERICA, INC.

BD
CRD#: 10205
COVINGTON, LA

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
Louisiana
(5/13/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/14/2019
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 9/13/2019
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/2/2019
Securities Industry Essentials Examination

Current Firm

ZC
ZION CAPITAL LLC
ZION CAPITAL LLC

CRD#: 307421 / SEC#:

Louisiana
Registered Investment Advisory firm - (5/13/2020 Approved)
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Contact information

Main Address
Baton Rouge, LA
Mailing Address
Phone number
(985) 960-7194
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts7
AUM (Assets Under Management)$ 1,175,000

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

ZION CAPITAL LLC

CRD#: 307421Baton Rouge, LA

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