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
PAUL LOCKWOOD ZEIS
PAUL L ZEIS, PAUL ZEIS
CRD#: 5672183
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 5990 WILCOX PL STE B
DUBLIN, OH 43016
Registration History
2010201220142016201820202022202420262 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - 2021 (10 years)2 FIRMS2021 - Present (3 years)
License(s)

State Registrations

B
Arizona 10/31/2023
B
Ohio 7/21/2021
B
California 2/22/2024
IA
Ohio 7/21/2021
B
Florida 7/21/2021
B
Pennsylvania 7/21/2021
B
Illinois 8/25/2023
B
South Carolina 7/21/2021
B
Indiana 7/21/2021
B
Texas 7/21/2021
B
New Hampshire 7/21/2021
IA
Texas 7/21/2021
B
North Carolina 7/21/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
5990 WILCOX PL STE B, DUBLIN, OH 43016
Registered with this firm since 7/21/2021
B
LPL FINANCIAL LLC (CRD#:6413)
5990 WILCOX PL STE B, DUBLIN, OH 43016
Registered with this firm since 7/21/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/07/2011 - 07/21/2021 WADDELL & REED (CRD#:866) DUBLIN, OH
B
 04/06/2011 - 07/21/2021 WADDELL & REED (CRD#:866) DUBLIN, OH
IA
 11/06/2009 - 01/04/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) COLUMBUS, OH
B
 11/05/2009 - 01/04/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) COLUMBUS, OH
IA
 08/04/2009 - 10/02/2009 EDWARD JONES (CRD#:250) UPPER ARLINGTON, OH
B
 07/20/2009 - 10/02/2009 EDWARD JONES (CRD#:250) UPPER ARLINGTON, OH
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.