ZIDEL FINANCIAL, INC. of BRECKENRIDGE, CO is an SEC-registered investment adviser (CRD 135047). Regulatory assets under management: $159.6M.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Douglas Ira Zidel | PRESIDENT/CCO | — |
| ZIDEL DOUGLAS IRA | PRESIDENT/CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2014-04-25 | regulatory | STATE OF FLORIDA DETERMINED THAT ZIDEL FINANCIAL: 1) DID NOT SEND INVOICES TO CUSTOMERS AT THE TIME OF FEE DEDUCTION FROM CUSTOMER ACCOUNTS BETWEEN JANUARY 1, 2014 AND JULY 25, 2014, THEREBY CREATING CUSTODY OF CLIENT FUNDS; AND 2) DID NOT TIMELY UPDATE FORM ADV TO INCLUDE THE PREVIOUS REGULATORY AC… | Final | $14K |
| 2012-08-09 | regulatory | THE FLORIDA OFFICE OF FINANCIAL REGULATION DETERMINED THAT ZIDEL FINANCIAL HAD NOT TIMELY FILED REQUIRED FINANCIAL STATEMENTS FOR 2009, 2010, AND 2011. | Final | $3K |