Nan M. Zimdars
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.
Nan Mallory Zimdars was a registered financial professional .
Nan is a previously registered financial professional and started their career in finance in 1981. Nan had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2020 - September 10, 2020
SECURITIES AMERICA, INC.
January 19, 2018 - March 31, 2021
KLAAS FINANCIAL ASSET ADVISORS, LLC.
January 16, 2018 - July 17, 2020
INVESTACORP, INC.
February 13, 2001 - January 16, 2018
SECURITIES AMERICA, INC.
December 2, 1997 - February 15, 2018
NAN M. ZIMDARS, INC.
June 13, 1996 - February 20, 2001
OSAIC FA, INC.
February 5, 1992 - December 16, 1995
NEW ENGLAND SECURITIES
November 21, 1983 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
November 21, 1983 - February 20, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 5, 1981 - December 16, 1991
NEW ENGLAND SECURITIES
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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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