Richard Zivi has been Managing Member, Chief Compliance Officer of NBZ Investment Advisors since July 1995, is a control person of the firm and directly owns between 50% and 75% of it.
NBZ Investment Advisors, LLC is a Knoxville, TN firm with $431M under management, 199 clients and 4 advisers in one office, as of its March 2026 filing.
- NBZ Investment Advisors, LLCCurrent– present · 22 yearsKnoxville, TN · Adviser representative · Firm CRD 123902
Investment adviser representative registrations
Richard Zivi is registered as an investment adviser representative in Tennessee, since February 2004.
- TennesseeSince 17 February 2004
Examinations
No examinations are on Richard Zivi’s record.
- Full name
- Richard Ira Zivi
- CRD
- 4602508
- Firm
- NBZ Investment Advisors · CRD 123902
- Role
- Managing Member, Chief Compliance Officer
- Office
- 6322 DEANE HILL DRIVE, Knoxville, TN 37919
- Registration
- Investment adviser registration
- In the industry since
- February 2004
- Disciplinary history
- Not yet shown here · SEC record
Where does Richard Zivi work?
Richard Zivi has been Managing Member, Chief Compliance Officer of NBZ Investment Advisors, LLC since July 1995, and is a control person of the firm.
Is Richard Zivi a financial advisor?
Yes. Richard Zivi has a current investment-adviser registration in Tennessee, through NBZ Investment Advisors since February 2004.
How many years of experience does Richard Zivi have?
Richard Zivi has 22 years in the financial industry, since February 2004, across 1 adviser firm.
Where is Richard Zivi based?
Richard Zivi’s registered office is in Knoxville, TN.
Is Richard Zivi registered with FINRA?
No. Richard Zivi has no current broker registration.
How can I verify Richard Zivi’s record?
Search CRD 4602508 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Zivi’s full registration record.