Individual Firm
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SCOTT DEL ZELNIKER
SCOTT D ZELNIKER
CRD#: 2257828
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 1285 AVENUE OF THE AMERICAS
15 THRU 18TH FLOORS
NEW YORK, NY 10019
15 THRU 18TH FLOORS
NEW YORK, NY 10019
View By:
5/8/2001
Customer Dispute
Award / Judgment
State Registrations
B
Alabama 4/29/2021
B
Nevada 12/1/2016
B
Arizona 4/26/2019
B
New Hampshire 12/1/2016
B
California 12/1/2016
B
New Jersey 12/1/2016
B
Colorado 1/6/2021
B
New Mexico 1/6/2021
B
Connecticut 12/1/2016
B
New York 12/1/2016
IA
Connecticut 12/1/2016
IA
New York 11/8/2021
B
Delaware 1/7/2021
B
North Carolina 12/1/2016
B
District of Columbia 12/1/2016
B
Ohio 12/1/2016
B
Florida 12/19/2016
B
Oklahoma 6/2/2022
IA
Florida 12/19/2016
B
Oregon 9/5/2024
B
Georgia 12/1/2016
B
Pennsylvania 12/24/2020
B
Illinois 12/1/2016
B
Rhode Island 5/12/2020
B
Indiana 3/12/2021
B
South Carolina 12/1/2016
B
Maine 1/7/2021
B
Tennessee 1/7/2021
B
Maryland 1/10/2018
B
Texas 12/1/2016
B
Massachusetts 12/1/2016
IA
Texas 12/1/2016
B
Michigan 1/7/2021
B
Vermont 3/12/2021
B
Minnesota 5/24/2021
B
Virginia 12/1/2016
B
Mississippi 1/11/2021
B
Washington 6/27/2023
B
Missouri 4/7/2017
B
West Virginia 9/12/2024
B
Montana 3/11/2021
B
Wisconsin 1/7/2021
SRO Registrations
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 12/1/2016
B
Registered with this firm since 12/1/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/22/2006 - 12/02/2016 | SARASOTA, FL | |
B | 08/30/2006 - 12/02/2016 | SARASOTA, FL | |
B | 08/23/1996 - 09/05/2006 | NEW YORK, NY | |
B | 07/13/1992 - 09/03/1996 | NEW YORK, NY |
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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.
IA
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.