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JAMES CLAIR ZENTS
JAMES ZENTS
CRD#: 4957779
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 100 HOWE DRIVE
COVINGTON, KY 41015
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 100 MAGELLAN
COVINGTON, KY 41015
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2008 - 2009 (1 year)2 FIRMS2010 - 2012 (1 year)2 FIRMS2012 - 2018 (5 years)2 FIRMS2021 - Present (3 years)BNATCITY INVESTMENTS, INC. (CRD# 17490)2006 - 2008 (2 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)2005 - 2006 (<1 year)
Disclosure(s)
View By:
10/31/1996
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 4/6/2021

B
Montana 4/6/2021

B
Alaska 4/7/2021

B
Nebraska 4/7/2021

B
Arizona 4/12/2021

B
Nevada 4/14/2021

B
Arkansas 4/6/2021

B
New Hampshire 4/6/2021

B
California 4/6/2021

B
New Jersey 4/6/2021

B
Colorado 4/7/2021

B
New Mexico 4/6/2021

B
Connecticut 4/6/2021

B
New York 4/11/2021

B
Delaware 4/9/2021

B
North Carolina 4/7/2021

B
District of Columbia 4/15/2021

B
North Dakota 4/12/2021

B
Florida 4/6/2021

B
Ohio 4/6/2021

B
Georgia 4/12/2021

B
Oklahoma 4/8/2021

B
Hawaii 6/2/2021

B
Oregon 4/9/2021

B
Idaho 4/6/2021

B
Pennsylvania 4/6/2021

B
Illinois 4/15/2021

B
Rhode Island 4/6/2021

B
Indiana 4/12/2021

B
South Carolina 4/6/2021

B
Iowa 4/8/2021

B
South Dakota 4/21/2021

B
Kansas 4/6/2021

B
Tennessee 4/7/2021

B
Kentucky 4/5/2021

B
Texas 4/6/2021

IA
Kentucky 5/11/2021

IA
Texas 5/10/2021

B
Louisiana 4/6/2021

B
Utah 4/6/2021

B
Maine 4/7/2021

B
Vermont 4/6/2021

B
Maryland 4/6/2021

B
Virginia 4/7/2021

B
Massachusetts 5/3/2021

B
Washington 4/5/2021

B
Michigan 4/7/2021

B
West Virginia 4/8/2021

B
Minnesota 4/6/2021

B
Wisconsin 4/6/2021

B
Mississippi 4/6/2021

B
Wyoming 4/6/2021

B
Missouri 4/29/2021

SRO Registrations

B
FINRA

B
New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
100 HOWE DRIVE, COVINGTON, KY 41015
Registered with this firm since 5/10/2021

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
100 MAGELLAN, COVINGTON, KY 41015
FORT MITCHELL, KY
Registered with this firm since 3/2/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/21/2012 - 05/07/2018 GREAT AMERICAN ADVISORS, INC. (CRD#:36451) CINCINNATI, OH
B
08/14/2012 - 05/07/2018 GREAT AMERICAN ADVISORS, INC. (CRD#:36451) CINCINNATI, OH
IA
07/19/2010 - 04/02/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) CINCINNATI, OH
B
07/09/2010 - 04/02/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) CINCINNATI, OH
IA
11/26/2008 - 11/18/2009 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) FLORENCE, KY
B
07/22/2008 - 11/18/2009 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) FLORENCE, KY
B
04/17/2006 - 07/01/2008 NATCITY INVESTMENTS, INC. (CRD#:17490) FLORENCE, KY
B
10/27/2005 - 02/10/2006 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.