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Current Employers
Vanderbilt Advisory Services

125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2023-04-12
  • NJ RA
    APPROVED
    Since 2023-04-12

Branch Locations

125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States

Windsor, NJ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Guinness Atkinson Asset Mgmt Woodland Hills CA 06/2013 11/2017
Foreside Fund Services, Llc Morganville NJ 07/2016 10/2017
Job Hunter Deerfield NJ 11/2017 02/2018
Ark Global Llc Wellesley Hills MA 03/2018 Present
  • 06/2013 → 11/2017
    Guinness Atkinson Asset Mgmt
    Woodland Hills, CA
  • 07/2016 → 10/2017
    Foreside Fund Services, Llc
    Morganville, NJ
  • 11/2017 → 02/2018
    Job Hunter
    Deerfield, NJ
  • 03/2018 → Present
    Ark Global Llc
    Wellesley Hills, MA
Other Businesses

1) Vanderbilt Securities, LLC. Investment Related. Start date: 04/03/2023. Address; 906 Jamestown Rd. East Windsor NJ, 08520. Title: Investment Product Manager. Duties: The product manager is responsible for the coordination & communication of investment products available on the VFG platform to Advisors affiliated with any VFG-affiliated entity. This role is part-time with an anticipated commitment of 10 hours per week on average, stewarding new investment product from VFG Product Due Diligence Committee review through Advisor education and onboarding.. Time spent during regular hours: 25%. 2) Brant T. Wagner. EstateGuru. Not investment related. Start date: 11/11/2024. Address: 906 Jamestown Rd. East Windsor NJ, 08520. Title Individual. Duties: I will be calling on Independent Registered Investment Advisor firms, introducing them to EstateGuru's estate planning solution. I will receive no compensation from EstateGuru for new subscriptions. I will receive a percentage (85%) of the compensation paid to Brant T. Wagner for new plans completed by Independent RIAs that I call on and introduce to EstateGuru. Time spent during regular hours: 10%. 3) True Gritt LTD dba Vanderbilt Financial Group. Not investment-related. Start date: 04/12/2023. Address: 125 Froehlich Farm Blvd, Woodbury, NY 11797. Duties: Marketing name/payroll/compensation.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-04-10
S63 Uniform Securities Agent State Law Examination 2005-07-11
  • S66 Uniform Combined State Law Examination
    2018-04-10
  • S63 Uniform Securities Agent State Law Examination
    2005-07-11
Other Names
  • Frank M (Jr) Zukowski
  • Frank Michael Zukowski
  • Frank Michael Zukowski

View on SEC IAPD

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