DZ
Dennis M. Zator
NFSG
HEATH, TX
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CRD#: 812662
DZ
Professional summary
Dennis Michael Zator, who also goes by Dennis M Zator, is a registered financial advisor currently at NFSG CORPORATION located in Heath, Texas and NEWBRIDGE SECURITIES CORPORATION located in Boca Raton, Florida.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Dennis has worked at 11 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 15, Series 5, PC and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dennis M Zator
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.
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Michael Zator'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®
NoneExperience
Current
July 6, 2010 - Present
NFSG CORPORATION
RIA
CRD#: 130814
HEATH, TX
Current
July 6, 2010 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432BD
CRD#: 104065
Boca Raton, FL
Past
December 2, 2009 - July 19, 2010
CHICAGO INVESTMENT GROUP ADVISORS, LLC
RIA
CRD#: 148188
CHICAGO, IL
Past
November 20, 2009 - July 19, 2010
CHICAGO INVESTMENT GROUP, LLC
BD
CRD#: 11853
CHICAGO, IL
Past
May 28, 2003 - November 17, 2009
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
CHICAGO, IL
Past
January 3, 2003 - November 17, 2009
OPPENHEIMER & CO. INC.
BD
CRD#: 249
CHICAGO, IL
Past
August 24, 1998 - January 3, 2003
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
July 2, 1979 - August 28, 1998
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
September 16, 1977 - July 5, 1979
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
BD
CRD#: 7238
Past
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
BD
CRD#: 7058
Past
September 25, 1975 - February 27, 1976
BACHE & CO., INCORPORATED
BD
CRD#: 66
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".
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)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.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
California(7/8/2010)
RR
Florida(7/21/2014)
RR
Illinois(7/6/2010)
IAR
Illinois(7/6/2010)
RR
Indiana(7/23/2010)
RR
Missouri(7/7/2010)
RR
Oregon(6/8/2020)
RR
South Dakota(8/16/2022)
RR
Texas(7/7/2010)
IAR
Texas(4/12/2018)
RR
Washington(3/28/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 10/30/1985
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 11/12/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 9/1/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
Phone number
(954) 334-3450
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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.
