GREGORY ZENT AND SWANSON. INC.
Legal name: GREGORY ZENT & SWANSON, INC.
CRD #22590 SEC #801-32530 FORT WAYNE, IN 260-432-3763
SEC Registered Broker-Dealer
Total AUM
$12.5M
Discretionary
$12.5M
Employees
10
Clients
0
Accounts
50
Firm Details
- Organization Type
- Corporation
- State of Formation
- Indiana
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 20, 2011
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| SHAW, RANDALL LEONARD | I | REGISTERED REP | NA | |
| SHAW, RANDALL LEONARD | I | GS | NA | |
| SHAW, RANDALL LEONARD | I | GS | NA | |
| SHAW, RANDALL LEONARD | I | REGISTERED REP | NA | |
| SHAW, RANDALL LEONARD | I | REGISTERED REP | NA | |
| SHAW, RANDALL LEONARD | I | REGISTERED REP | NA | |
| SHAW, RANDALL LEONARD | I | REGISTERED REP | NA | |
| SHAW, RANDALL LEONARD | I | REGISTERED REP | NA | |
| TRAMMEL, TAMMY J | I | OFFICE MANAGER | NA | |
| TRAMMEL, TAMMY J | I | OFFICE MANAGER | NA | |
| TRAMMEL, TAMMY J | I | OFFICE MANAGER | NA | |
| TRAMMEL, TAMMY J | I | OFFICE MANAGER | NA | |
| ZENT, LARRY EUGENE | I | PRESIDENT, SROP, CROP, GS, GP | D | Control |
| ZENT, LARRY EUGENE | I | PRESIDENT, SROP, CROP, CHIEF COMPLIANCE OFFICER | D | Control |
| ZENT, LARRY EUGENE | I | PRESIDENT, SROP, CROP, CHIEF COMPLIANCE OFFICER | D | Control |
| GREGORY, SAMUEL BAILEY JR | I | SECRETARY/TREASURER | C | Control |
| GREGORY, SAMUEL BAILEY JR | I | SECRETARY/TREASURER | C | Control |
| GREGORY, SAMUEL BAILEY JR | I | SECRETARY/TREASURER | C | Control |
| GREGORY, SAMUEL BAILEY JR | I | SECRETARY/TREASURER | C | Control |
| GREGORY, SAMUEL BAILEY JR | I | SECRETARY/TREASURER | C | Control |
| JAIN, JIYA LAL | I | EXECUTIVE VICE PRESIDENT, REGISTERED REP | C | Control |
| JAIN, JIYA LAL | I | EXECUTIVE VICE PRESIDENT, REGISTERED REP, CHIEF COMPLIANCE OFFICER | C | Control |
| JAIN, JIYA LAL | I | EXECUTIVE VICE PRESIDENT, REGISTERED REP, CHIEF COMPLIANCE OFFICER | C | Control |
| JAIN, JIYA LAL | I | EXECUTIVE VICE PRESIDENT, REGISTERED REP | C | Control |
| JAIN, JIYA LAL | I | EXECUTIVE VICE PRESIDENT, REGISTERED REP | C | Control |
| SWANSON, CHRISTOPHER JOHN | I | PRESIDENT, FINOP, GP, GS, CHIEF COMPLIANCE OFFICER, SROP, CROP | C | Control |
| SWANSON, CHRISTOPHER JOHN | I | PRESIDENT, FINOP, GP, GS, SROP, CROP | C | Control |
| SWANSON, CHRISTOPHER JOHN | I | PRESIDENT, FINOP, GP, GS, SROP, CROP | C | Control |
| SWANSON, CHRISTOPHER JOHN | I | PRESIDENT, FINOP, GP, GS, CHIEF COMPLIANCE OFFICER, SROP, CROP | C | Control |
| SWANSON, CHRISTOPHER JOHN | I | PRESIDENT, FINOP, GP, GS, CHIEF COMPLIANCE OFFICER, SROP, CROP | C | Control |
| GREGORY, ROSS MCKEAN | I | REGISTERED REPRESENTATIVE, GS | B | |
| GREGORY, ROSS MCKEAN | I | DIRECTOR, REGISTERED REP | B | Control |
| GREGORY, ROSS MCKEAN | I | DIRECTOR, REGISTERED REP | B | Control |
| GREGORY, SAMUEL BAILEY JR | I | SECRETARY/TREASURER | B | Control |
| GREGORY, SAMUEL BAILEY JR | I | SECRETARY/TREASURER | B | Control |
| GREGORY, SAMUEL BAILEY JR | I | SECRETARY/TREASURER | B | Control |
| SWANSON, CHRISTOPHER JOHN | I | VICE PRESIDENT, FINOP, GP, GS, CHIEF COMPLIANCE OFFICER | B | Control |
| SWANSON, CHRISTOPHER JOHN | I | VICE PRES., GP, GS, FIN OP | A | Control |
| SWANSON, CHRISTOPHER JOHN | I | VICE PRES., GP, GS, FIN OP | A | Control |
Registrations
Federal
IA
May 20, 2011 REGISTERED
Notice Filings (2)
IN WI
Address
4011 W. JEFFERSON BLVD STE 225FORT WAYNE, IN 46804
United States
Phone: 260-432-3763