Individual Firm
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TERENCE MICHAEL ZAAS
TERRY M ZAAS, TERRY MICHAEL ZAAS
CRD#: 1271206
IA
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UBS FINANCIAL SERVICES INC.CRD#: 8174 5007 HORIZONS DRIVE
COLUMBUS, OH 43220
COLUMBUS, OH 43220
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Disclosures
40
Years of Experience
View By:
State Registrations
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Arizona 10/31/2008
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New Jersey 12/9/2024
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California 10/31/2008
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New York 3/7/2017
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Colorado 10/31/2008
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North Carolina 1/6/2012
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Connecticut 2/24/2011
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Ohio 10/31/2008
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District of Columbia 3/19/2020
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Ohio 11/7/2008
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Florida 10/31/2008
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Oklahoma 10/31/2008
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Georgia 7/28/2015
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Oregon 10/31/2008
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Illinois 10/31/2008
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Pennsylvania 10/31/2008
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Indiana 1/6/2012
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South Carolina 6/16/2011
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Iowa 4/5/2012
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Tennessee 8/28/2012
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Louisiana 5/10/2021
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Texas 7/28/2015
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Maryland 10/31/2008
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Texas 4/4/2016
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Massachusetts 3/8/2023
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Virginia 10/31/2008
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Michigan 10/31/2008
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Washington 10/31/2008
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Mississippi 4/8/2021
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West Virginia 12/14/2018
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Nevada 11/18/2014
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Wisconsin 10/31/2008
SRO Registrations
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Registered with this firm since 10/31/2008
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Registered with this firm since 10/31/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 11/03/2008 | DUBLIN, OH | |
B | 04/02/2007 - 11/03/2008 | DUBLIN, OH | |
IA | 04/11/2001 - 04/02/2007 | DUBLIN, OH | |
B | 07/23/1999 - 04/02/2007 | DUBLIN, OH | |
B | 10/15/1986 - 07/22/1999 | NEW YORK, NY | |
B | 01/25/1985 - 10/07/1986 | ||
B | 10/17/1984 - 02/11/1985 | ||
B | 05/25/1984 - 10/31/1984 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.