Denise Michelle Zapata

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2014 → 10/2019
  Fsc Securities Corporation
  Fontana, CA
• 10/2019 → 11/2021
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 10/2019 → 11/2021
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 11/2021 → Present
  Lpl Financial Llc
  Upland, CA

Previous Registrations

• 2019-10-04 → 2021-12-02
  Cambridge Investment Research Advisors, Inc.
  Upland, CA
• 2014-01-27 → 2019-10-11
  Fsc Securities Corporation
  Atlanta, GA
  Upland, CA
• 2010-10-26 → 2014-01-07
  Cetera Wealth Services, Llc
  Redlands, CA
  Murray, UT
  San Bernardino, CA
• 2008-03-14 → 2010-10-07
  Cuso Financial Services, L.P.
  Riverside, CA
• 2007-05-29 → 2008-03-25
  Citigroup Global Markets Inc.
  Fountain Valley, CA
  Redlands, CA
• 2006-02-21 → 2007-05-29
  Citicorp Investment Services
  Redlands, CA
  Riverside, CA
• 2001-12-18 → 2002-10-18
  Ameriprise Financial Services, Llc
  Riverside, CA

Other Businesses

1) DENISE ZAPATAT- Non-Variable Insurance- Agent selling Term, whole life, disability, fixed annuities- inv. related- Upland, CA- 1hr/mth 2) 1/1/2011- other- Marketing Director - non-inv. related- Upland, CA 3) 1/8/2021- ONYX FLOWER MEDICINE, LLC- owner- non-inv. related- Upland, CA- 10hrs/mth 4) 01/13/2025- Zapata Insurance Solutions- Non-Variable Insurance- Agent - Investment Related - At Reported Business Location(s) - Start Date 12/10/2024- 10 hours per month/ during trading 5) 05/15/2025 - Financial Plan Guru - Inv. Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:04/21/2025 - 60 hours per month/3 during trading 6) 10/28/2025- Zapata Private Wealth Group- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- 40 Hours Per Month- 40 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2001-12-13

Other Names

• Denise Michelle Quintero
• Denise Michelle Quintero