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CZ

Christopher T. Zorzi

Some features on this profile are disabled
CRD#: 2077117
CZ

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Christopher Todd Zorzi was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1990. Christopher had worked at 2 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 3, 2006 - January 10, 2019

WILLIAMS TRADING LLC

BD
CRD#: 43678
WESTPORT, CT
Past

July 16, 1990 - March 1, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/28/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/26/2013
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/3/1995
General Securities Representative Examination

Current Firm

WT
WILLIAMS TRADING LLC
WILLIAMS TRADING LLC

CRD#: 43678 / SEC#: , 8-50372

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
450 Post Road East Suite 120, Westport, CT 06880
Mailing Address
450 Post Road East Suite 120, Westport, CT 06880
Phone number
(203) 353-7600
Established
Connecticut since 12/31/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (31 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WILLIAMS, DAVID BREWSTERMANAGING MEMBER/GENERAL SECURITIES PRINCIPAL1715713
GOERTZ, JOSEPH THOMASCHIEF COMPLIANCE OFFICER/DIRECTOR OF OPERATIONS5607738
MARCIANO, LANCE DANIELCHIEF OPERATING OFFICER2261020
MOONEY, MATTHEW BRIANREGISTERED OPTIONS PRINCIPAL3100953
MOROVATI, BABAK BOBBYCFO/FINANCIAL OPERATIONS PRINCIPAL/PFO/POO5650049

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

WILLIAMS TRADING LLC

CRD#: 43678

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