ZACHARY STAN SECH

ZACHARY STAN SECH is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 312 WALNUT STREET, SUITE 3300, CINCINNATI, OH, 45202.

ZACHARY STAN SECH has worked at UBS FINANCIAL SERVICES INC. since December 12, 2008

Disclosure History

ZACHARY STAN SECH has 1 Disclosure Event(s).

Date: March 27, 2009
Category: Customer Dispute
Allegations: CLIENT ALLEGED THAT THE FINANCIAL ADVISOR MISREPRESENTED THE DEATH BENEFIT FEATURE OF THE ANNUITY CONTRACT. ACTIVITY DATE 10/2008 TO 03/2009.
Settlement Amount: $25,000.00
Broker Comment: COMPLAINT AND SETTLEMENT OCCURRED AFTER FINANCIAL ADVISOR'S DEPARTURE FROM PREVIOUS FIRM CONCERNING A CLIENT IN WHICH ZACHARY SECH WAS NOT LEAD ADVISOR DUE TO THE FACT THAT THE CLIENT WAS A SHARED CLIENT BY A GROUP OF ADVISORS. FINRA REVIEW CLOSED THE EXAMINATION OF THIS MATTER, TAKING NO ACTION AGAINST THE FINANCIAL ADVISOR.

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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