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Detailed Report
PAUL MARK ZOCH
CRD#: 4426797
IA
Investment Adviser
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Previous Broker
PROSPERITUS WEALTH ADVISORSCRD#: 306630 11555 HERON BAY BLVD, SUITE 305
CORAL SPRINGS, FL 33076
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2009 (6 years)2 FIRMS2009 - 2011 (2 years)2 FIRMS2011 - 2017 (6 years)IAPROSPERITUS WEALTH ADVISORS (CRD# 306630)2020 - Present (5 years)BIDS LIFE INSURANCE COMPANY (CRD# 6321)2002 - 2006 (3 years)BLADENBURG, THALMANN & CO., INC. (CRD# 505)2001 - 2001 (<1 year)IAAVENIR PRIVATE ADVISORS, LLC (CRD# 298064)2019 - 2020 (<1 year)IACAPITAL GUARDIAN WEALTH MANAGE... (CRD# 131631)2017 - 2018 (1 year)
Disclosure(s)
View By:
10/26/2017
Customer Dispute
Denied
8/29/2017
Employment Separation After Allegations
11/29/2007
Customer Dispute
Closed-No Action
License(s)

State Registrations

IA
Florida 3/6/2020
Current Registration(s)
IA
PROSPERITUS WEALTH ADVISORS (CRD#:306630)
11555 HERON BAY BLVD, SUITE 305, CORAL SPRINGS, FL 33076
Registered with this firm since 3/6/2020
Previous Registration(s)
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 04/12/2019 - 02/04/2020 AVENIR PRIVATE ADVISORS, LLC (CRD#:298064) Fort Lauderdale, FL
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 12/20/2017 - 12/31/2018 CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC (CRD#:131631) Fort Lauderdale, FL
IA
 07/29/2011 - 09/26/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) FORT LAUDERDALE, FL
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 07/28/2011 - 09/26/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) FORT LAUDERDALE, FL
IA
 06/10/2009 - 08/01/2011 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) POMPANO BEACH, FL
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 05/19/2009 - 08/01/2011 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) POMPANO BEACH, FL
IA
 09/24/2002 - 05/07/2009 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) MIAMI, FL
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 09/04/2002 - 05/07/2009 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) MIAMI, FL
B
 09/04/2002 - 07/03/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
B
 08/17/2001 - 11/14/2001 LADENBURG, THALMANN & CO., INC. (CRD#:505) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.