Richard Z. Zielony
Professional summary
Richard Zbigniew Zielony was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Richard had worked at 10 firms, which includes BROOKSTREET SECURITIES CORPORATION, UBS FINANCIAL SERVICES INC., LEHMAN BROTHERS INC., PRUDENTIAL EQUITY GROUP LLC, THOMSON MCKINNON SECURITIES INC., FIRST AFFILIATED SECURITIES INC., MCKEWON & TIMMINS, DREXEL BURNHAM LAMBERT INCORPORATED, J. DAVID MUNICIPALS AND GOVERMENTS INC., CALIFORNIA MUNICIPAL INVESTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 1996 - December 31, 2001
BROOKSTREET SECURITIES CORPORATION
June 23, 1993 - August 5, 1996
UBS FINANCIAL SERVICES INC.
July 1, 1991 - July 12, 1993
LEHMAN BROTHERS INC.
August 25, 1989 - July 2, 1991
PRUDENTIAL EQUITY GROUP, LLC
August 5, 1987 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
June 2, 1987 - August 22, 1987
FIRST AFFILIATED SECURITIES, INC.
September 4, 1985 - June 8, 1987
MCKEWON & TIMMINS
February 24, 1984 - September 19, 1985
DREXEL BURNHAM LAMBERT INCORPORATED
November 1, 1983 - January 1, 1984
J. DAVID MUNICIPALS AND GOVERMENTS, INC.
March 25, 1982 - October 28, 1983
LEHMAN BROTHERS INC.
December 23, 1980 - March 17, 1982
CALIFORNIA MUNICIPAL INVESTORS, INC.
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
Series 15
Date: 8/25/1987
Foreign Currency Options ExaminationSeries 5
Date: 8/25/1987
Interest Rate Options ExaminationCurrent Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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