James K. Zurek
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.
James K Zurek, who also goes by James Keith Zurek, James T Zurek, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 11 firms and has passed the Series 63, Series 52TO, SIE, Series 5, Series 7, Series 24, Series 4 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2019 - January 27, 2023
AMERICAN TRUST INVESTMENT SERVICES, INC.
March 6, 2013 - December 12, 2019
FOREST SECURITIES,INC.
June 14, 2012 - March 8, 2013
NDX TRADING, INC.
November 15, 1999 - May 4, 2012
BIRKELBACH INVESTMENT SECURITIES, INC.
February 3, 1993 - November 1, 1999
GENEVA SECURITIES,INC.
November 23, 1990 - January 5, 1993
RODMAN & RENSHAW INC.
November 25, 1987 - November 15, 1990
TAMARON INVESTMENTS, INC.
July 11, 1984 - November 23, 1987
MOSELEY SECURITIES CORPORATION
June 13, 1984 - June 15, 1984
CIBC WORLD MARKETS CORP.
April 27, 1981 - July 6, 1984
MORGAN STANLEY DW INC.
February 16, 1978 - May 7, 1981
CIBC WORLD MARKETS CORP.
July 22, 1976 - March 2, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationCurrent Firm
AMERICAN TRUST INVESTMENT SERVICES, INC.
CRD#: 3001 / SEC#: , 8-14394
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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