Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
CIMALIE ANN ZOY
CRD#: 4097118
IA
Investment Adviser
EDELMAN FINANCIAL ENGINESCRD#: 104510 1331 GEMINI AVE
SUITE 200-A
HOUSTON, TX 77058
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2015 - 2016 (1 year)IAEDELMAN FINANCIAL ENGINES (CRD# 104510)2016 - Present (8 years)IAPALANTIR CAPITAL MANAGEMENT, LTD. (CRD# 131625)2004 - 2015 (10 years)
License(s)

State Registrations

IA
Texas 11/30/2016
Current Registration(s)
IA
EDELMAN FINANCIAL ENGINES (CRD#:104510)
1331 GEMINI AVE SUITE 200-A, HOUSTON, TX 77058
777 NORTH ELDRIDGE PARKWAY SUITE 420, HOUSTON, TX 77079
Registered with this firm since 11/30/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/01/2015 - 12/01/2016 FINANCIAL ENGINES ADVISOR CENTER, LLC (CRD#:109238) HOUSTON, TX
IA
 04/01/2015 - 09/23/2016 THE MUTUAL FUND STORE (CRD#:165877) HOUSTON, TX
IA
 08/12/2004 - 05/14/2015 PALANTIR CAPITAL MANAGEMENT, LTD. (CRD#:131625) HOUSTON, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.