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Dennis Michael Zator

Nfsg Corporation

Boca Raton, FL

Heath, TX

CRD 812662

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Employer firm

Nfsg Corporation CRD 130814

$1.08B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Nfsg Corporation

1200 North Federal Highway Suite 400, Boca Raton, FL 33432 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-04-12
IL RA APPROVED 2010-07-06
  • TX RA
    APPROVED_RES
    Since 2018-04-12
  • IL RA
    APPROVED
    Since 2010-07-06

Branch Locations

1200 North Federal Highway Suite 400, Boca Raton, FL 33432 • United States

Heath, TX • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Newbridge Securities Corporation Chicago IL 07/2010 Present
  • 07/2010 → Present
    Newbridge Securities Corporation
    Chicago, IL
Previous Registrations
  • 2009-12-02 → 2010-07-19
    Chicago Investment Group Advisors, Llc
    Chicago, IL
  • 2003-05-28 → 2009-11-17
    Chicago, IL
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-05-23
S63 Uniform Securities Agent State Law Examination 1979-07-10
  • S66 Uniform Combined State Law Examination
    2003-05-23
  • S63 Uniform Securities Agent State Law Examination
    1979-07-10
Other Names
  • Dennis M Zator

View on SEC IAPD

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