Konrad Daniel Zagzebski (CRD #6975037) Has an Employment Separation Disclosure on FINRA BrokerCheck
Konrad Daniel Zagzebski (CRD #6975037) is a financial professional with an employment separation disclosure disclosed on his FINRA BrokerCheck report. We reviewed Konrad Zagzebski’s BrokerCheck report on February 17, 2026. The public record reflects one termination disclosure. If you have concerns about your investments, keep reading.
BrokerCheck link: BrokerCheck
BrokerCheck report: BrokerCheck Report (PDF)
Employment Separation After Allegations
Konrad Zagzebski’s FINRA BrokerCheck Report reflects one termination disclosure. A summary is below:
On December 8, 2025, KerberRose Wealth Management, LLC reported that it discharged Konrad Zagzebski. The disclosure states that the firm cited failing to adhere to firm policies and procedures and distributing unapproved marketing materials. Konrad Zagzebski submitted a statement. He wrote: “The materials referenced were developed and disseminated by the firm’s marketing department. No client complaints or regulatory findings occurred.”
Rule Summary #1
FINRA Rule 2210 (Communications with the Public)
FINRA Rule 2210 governs how firms and associated persons communicate with the public, including marketing materials. It requires fair and balanced communications, and it includes review and approval requirements for many retail communications.
Rule Summary #2
FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)
FINRA Rule 2010 requires high standards of commercial honor and just and equitable principles of trade. In many cases, issues involving compliance with firm policies and supervisory expectations are evaluated under this broad standard.
Why This Matters to Investors (Regulation Best Interest)
Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.
Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.
Reg BI has four key obligations:
Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.
Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.
Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.
Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.
Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.
Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.
Background Information (from BrokerCheck)
Based on his FINRA BrokerCheck report, Konrad Zagzebski:
Is currently registered as an investment adviser representative with ShellCrest Financial LLC.
Has passed the Securities Industry Essentials (SIE) exam. Konrad Zagzebski has also passed Series 7 and Series 66.
Was previously registered with firms that include KerberRose Wealth Management, LLC and LPL Financial LLC.
Kurta Law Can Help
If you have worked with Konrad Zagzebski and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.
Helpful Resources: Securities Attorney | Selling Away
For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a firm mishandled your account, an attorney can review the facts and explain possible next steps.