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Brian Feng Zen

Joseph Stone Capital LLC

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About Brian Feng Zen

Brian Feng Zen is a financial advisor with over 30 years of experience in the financial industry. Brian has a broad range of experience and is currently registered with Joseph Stone Capital LLC. Brian has previously held positions at Univest Securities, LLC, Chase Investment Services Corp., Univest Securities, Inc. DBA Universal Financial Group, Janney Montgomery Scott LLC, Investors Associates, Inc. and Prudential Securities Incorporated.

Firm Information

Brian Zen is currently registered with Joseph Stone Capital LLC. Joseph Stone Capital LLC is a Limited Liability Company formed in 2011. The firm is registered to provide advisory services in all 50 U.S. states and Puerto Rico, as well as with the SEC. Joseph Stone Capital LLC has been the subject of 4 regulatory events and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

21

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Brian Zen’s Registration & Firm History

NY

12/21/2020 - Present

Joseph Stone Capital LLC (NEW YORK NY)

NY

10/31/2007 - 12/01/2020

UNIVEST SECURITIES, LLC (NEW YORK NY)

NY

07/27/2006 - 11/07/2007

CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)

NY

06/30/2003 - 07/31/2006

UNIVEST SECURITIES, INC. DBA UNIVERSAL FINANCIAL GROUP (NEW YORK NY)

PA

10/27/1993 - 07/22/2003

JANNEY MONTGOMERY SCOTT LLC (PHILADELPHIA PA)

NJ

10/21/1993 - 11/08/1993

INVESTORS ASSOCIATES, INC. (HACKENSACK NJ)

NY

12/04/1992 - 10/21/1993

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NJ

06/19/1991 - 12/09/1992

TRADERFIELD SECURITIES INC. (HAZLET NJ)

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Licenses & Designations

IA

Issued 09/23/1997

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/01/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/18/1991

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Brian Feng Zen.
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