Zachary W. Stern

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CRD#: 7374996

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.

Zachary William Stern was a registered financial professional .

Zachary is a previously registered financial professional and started their career in finance in 2021. Zachary had worked at 6 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

CRD#: 290173

PITTSBURGH, PA

Past

October 15, 2021 - October 10, 2023

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

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".

FEDERATED SECURITIES CORP.

CRD#: 5009 / SEC#: 801-70438, 8-15561

RIA

Registered Investment Advisory firm - SEC (8/17/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/17/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/16/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/14/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/10/2021

Securities Industry Essentials Examination

Current Firm

FEDERATED SECURITIES CORP.

CRD#: 5009 / SEC#: 801-70438, 8-15561

RIA

Registered Investment Advisory firm - SEC (8/17/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1001 Liberty Avenue, Pittsburgh, PA 15222-3779

Mailing Address

1001 Liberty Avenue, Pittsburgh, PA 15222-3779

Phone number

(412) 288-1900

Established

Pennsylvania since 11/14/1969

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

300

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
FII HOLDINGS, INC.	OWNER
ARONSOHN, JEFF DAVIS JR	COMPLIANCE OFFICER	5414359
BURKE, BRYAN MARKHAM	EXECUTIVE VICE PRESIDENT	2659959
DONAHUE, THOMAS ROBERT	EXECUTIVE VICE PRESIDENT AND DIRECTOR	2766434
EISENBRANDT, PETER WILLIAM	EXECUTIVE VICE PRESIDENT	1676319
FAVERO, AUTUMN LYNN	ASSISTANT TREASURER, FINANCIAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER	7844158
GERMAIN, PETER JOSEPH	DIRECTOR/VICE PRESIDENT	4152014
MOORE, KARY ANNE	SECRETARY	5989808
NOVAK, RICHARD ANTHONY	TREASURER	2901271
RONAYNE, BRIAN SEAN	EXECUTIVE VICE PRESIDENT	2158279
SENCHAK, FRANK CARL	DIRECTOR	6683477
UHLMAN, PAUL ADAM	DIRECTOR AND PRESIDENT	2043674
VAN METER, STEPHEN PAUL	CHIEF COMPLIANCE OFFICER	6020413

Disclosures

Regulatory Event

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.

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Zachary W. Stern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FEDERATED SECURITIES CORP.

FEDERATED INTERNATIONAL SECURITIES CORP.

MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC

FEDERATED INVESTMENT COUNSELING

FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.

FEDERATED INTERNATIONAL SECURITIES CORP.

AEGIS CAPITAL CORP.

Primary Firm SEC Registration

FEDERATED SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/17/2023

Series 63

Date: 11/16/2021

Series 7TO

Date: 10/14/2021

SIE

Date: 6/10/2021

Current Firm

FEDERATED SECURITIES CORP.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FEDERATED SECURITIES CORP.

TRUST BUT VERIFY

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