Dennis Zator is a registered investment advisor, based in Heath, TX, with 51 years of industry experience. Dennis is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Heath, TX
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Regulatory History (4)
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Regulatory
October 2012Final
Regulatory
September 2012Final
Regulatory
December 2011Final
Employment Separation After Allegations
November 2009Employment History
Current Registrations
Newbridge Securities Corporation
July 2010 - Present · 16 yrs 3 mos
Nfsg Corporation
July 2010 - Present · 16 yrs 3 mos
Newbridge Securities CorporationBroker
July 2010 - Present · 16 yrs 3 mos
Previous Registrations
Chicago Investment Group Advisors, LLC
December 2009 - July 2010 · 7 mos
Chicago Investment Group, LLCBroker
November 2009 - July 2010 · 8 mos
Oppenheimer & CO. INC.
May 2003 - November 2009 · 6 yrs 6 mos
Oppenheimer & CO. INC.Broker
January 2003 - November 2009 · 6 yrs 10 mos
Cibc World Markets CORP.Broker
August 1998 - January 2003 · 4 yrs 5 mos
Bear, Stearns & CO. INC.Broker
July 1979 - August 1998 · 19 yrs 1 mo
Bache Halsey Stuart Shields IncorporatedBroker
September 1977 - July 1979 · 1 yr 10 mos
Bache Halsey Stuart INC.Broker
August 1976 - September 1977 · 1 yr 1 mo
Bache & CO IncorporatedBroker
February 1976 - August 1976 · 6 mos
Bache & CO., IncorporatedBroker
September 1975 - February 1976 · 5 mos
State Registrations10 states
CAFLILINKYMOORSDTXWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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