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ZS

Zaab Sethna

FOCUSPOINT PRIVATE CAPITAL GROUP
New York, NY 10019
Some features on this profile are disabled
CRD#: 7343924
ZS

Professional summary

Zaab Sethna, who also goes by Behzad Zaab Sethna, is a registered financial professional currently at FOCUSPOINT PRIVATE CAPITAL GROUP located in New York, New York.

Zaab is registered as a RR (Registered Representative) and started their career in finance in 2021. Zaab has worked at 1 firm and has passed the Series 82TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Behzad Zaab Sethna

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) - BD

Click below to view Zaab Sethna's CRS (Customer Relationship Summary).
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

July 15, 2021 - Present

FOCUSPOINT PRIVATE CAPITAL GROUP

Office #1: 712 Fifth Avenue 8th Floor, Suite 008a, New York, NY 10019
BD
CRD#: 122341
New York, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(1/18/2024)

Exams

General Industry/Product Exam
RR
Series 82TO
Date: 7/15/2021
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 7/3/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

FP
FOCUSPOINT PRIVATE CAPITAL GROUP
FOCUSPOINT PRIVATE CAPITAL GROUP | LIBERTY PACIFIC SECURITIES, LLC | G2 SECURITIES, LLC | FPCG, LLC | FORBES PRIVATE CAPITAL GROUP

CRD#: 122341 / SEC#: , 8-65488

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
712 Fifth Avenue 8th Floor, Suite 008a, New York, NY 10019
Mailing Address
712 Fifth Avenue 8th Floor, Suite 008a, New York, NY 10019
Phone number
(212) 887-1137
Established
Washington since 04/16/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FPCG HOLDING SPV, LLCMEMBER
CHIN, PHYLLIS NYUK FAHFINOP, PFO, POO6250921
CONROD, DAVID LUCASPRINCIPAL; PRESIDENT (09/2010)2400517
MATTIELLI, LOUIS DOMENICCHIEF COMPLIANCE OFFICER1074096

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

FOCUSPOINT PRIVATE CAPITAL GROUP

CRD#: 122341New York, NY 10019

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