Dennis Lee Zaplin

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:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2019-04-09

NJ RA
APPROVED

Since 2019-04-09

Branch Locations

293 Eisenhower Parkway Ste 360, Livingston, NJ 07039 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
J.P. Morgan Securities Llc	Verona	NJ	10/2012	03/2019
Lpl Financial, Llc	Livingston	NJ	03/2019	Present

10/2012 → 03/2019

J.P. Morgan Securities Llc

Verona, NJ
03/2019 → Present

Lpl Financial, Llc

Livingston, NJ

Previous Registrations

2012-10-01 → 2019-04-12

J.P. Morgan Securities Llc

Verona, NJ

Upper Montclair, NJ

West Caldwell, NJ
2009-04-16 → 2012-10-01

Chase Investment Services Corp.

West Caldwell, NJ

Upper Montclair, NJ

Verona, NJ
2006-10-06 → 2009-03-31

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Florham Park, NJ

Other Businesses

1. 3/29/2019 - Zapgo LLC - Not Investment Related - Home Based - Other-Business Owner - Started 01/01/2005 - 0 Hours Per Month - Time Spent 0% - Advertising Specialty Distributor. 2. 08/22/2019 - No business name - Investment related - At reported business location(s) - Non-Variable Insurance - start date:09/02/2019 - 10 hrs/mo - 10 hrs during trading. 3. 1/13/2021 - Zaplin Financial Services LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 3/1/2019 - 160 Hours Per Month/6 Hours During Securities Trading. 4. 2/11/2022 - SKZ Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/09/2022 - 160 Hours Per Month/150 Hours During Securities Trading. 5. 12/07/2023 - SKZ Wealth Management - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - Started: 11/28/2023 - 10 Hrs/Mo During Trading Hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-02-02
S63	Uniform Securities Agent State Law Examination	2002-07-23

S65 Uniform Investment Adviser Law Examination

2007-02-02
S63 Uniform Securities Agent State Law Examination

2002-07-23

View on SEC IAPD