Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that former New York-based LPL Financial broker/adviser James Zegers has received a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Zegers (CRD# 2559008).
James Zegers has spent 24 years in the securities industry and was most recently registered with LPL Financial in Albany, New York (2016-2018). Previous registrations include Voya Financial in Albany, New York (2003-2016) and Waddell & Reed in Overland Park, Kansas (1994-2003). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 28, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 30, 1994; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on January 16, 2004; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 30, 1994. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one pending customer complaint and one denied customer complaint.