Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Craig? Claim Your ProfileCraig Michael Zaron is an investment professional with over two decades of experience in the financial services industry. Craig has a strong track record of providing personalized investment advice and portfolio management services to a diverse clientele. He has worked with UBS Financial Services Inc. since 2010 and previously held positions at Shay Financial Services, Inc., TradeStation Securities, Inc., Morgan Stanley DW Inc., Schonfeld Securities, LLC, Andover Brokerage, L.L.C., Herzog, Heine, Geduld, Inc., and PaineWebber Incorporated. Craig holds a variety of licenses and certifications, including Series 3, 7, 9, 10, 31, 55, 63, and 65. Craig Michael Zaron specializes in providing investment advice to high-net-worth individuals, corporations, and other institutions.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
11/25/2014 - Present
UBS Financial Services Inc. (WALNUT CREEK CA)
FL
04/01/2008 - 02/26/2010
SHAY FINANCIAL SERVICES, INC. (CORAL GABLES FL)
FL
05/01/2007 - 03/25/2008
TRADESTATION SECURITIES, INC. (PLANTATION FL)
FL
04/05/2005 - 10/25/2006
TRADESTATION SECURITIES, INC. (PLANTATION FL)
NY
06/28/2002 - 04/23/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
12/05/2001 - 06/24/2002
SCHONFELD SECURITIES, LLC (JERICHO NY)
NY
08/08/2001 - 12/05/2001
ANDOVER BROKERAGE, L.L.C. (MONTEBELLO NY)
NY
02/12/1996 - 06/27/2001
HERZOG, HEINE, GEDULD, INC. (NEW YORK NY)
NJ
11/21/1995 - 12/20/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 01/18/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/04/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/04/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/28/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/2005
Series 3 - National Commodity Futures Examination
BC
Issued 07/03/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 03/27/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/18/1995
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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