Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 6, 2018 indicate that Arizona-based First Financial Equity Corporation broker/adviser Zachary Brodt has been named in a pending FINRA investigation. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Brodt (CRD# 5228473).
Zachary Brodt has spent eleven years in the securities industry and has been registered First Financial Equity Corporation in Scottsdale, Arizona since 2016. Previous registrations include Raymond James & Associates in Scottsdale, Arizona (2014-2016); Accelerated Capital Group in Scottsdale, Arizona (2012-2014); Meridian United Capital in Scottsdale, Arizona (2008-2012); and GF Investment Services in Scottsdale, Arizona (2007-2008). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 11, 2007; Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 25, 2006; and Series 7 (General Securities Representative Examination), which he obtained on January 26, 2007. He is a registered broker and investment adviser with six US states: Arizona, California, Georgia, Nevada, New York, and Texas.
According to his BrokerCheck report, Zachary Brodt has been named in a pending FINRA investigation.