Best Investors Account Sign in

Christopher Thomas Zappala

LPl Financial LLC

San Diego, CA

Claim This Profile
Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2009-05-08
  • CA RA
    APPROVED
    Since 2009-05-08

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc San Diego CA 02/2008 Present
Previous Registrations
  • 2013-02-15 → 2015-04-20
    Independent Advisers Group Corp
    San Diego, CA
  • 2007-03-28 → 2011-12-31
    Uvest Financial Services Group, Inc.
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
  • 2004-01-28 → 2007-02-21
    Lpl Financial Llc
    San Diego, CA
    San Diego, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-04-06
S63 Uniform Securities Agent State Law Examination 1998-03-31
  • S65 Uniform Investment Adviser Law Examination
    1998-04-06
  • S63 Uniform Securities Agent State Law Examination
    1998-03-31
Other Names
  • Christopher T Zappala

View on SEC IAPD

Other Firms

CETERA INVESTMENT ADVISERS LLC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RBC CAPITAL MARKETS, LLC
CETERA INVESTMENT MANAGEMENT LLC
ONE CAPITAL MANAGEMENT, LLC
TRIVANT CUSTOM PORTFOLIO GROUP LLC
SILVIA MCCOLL WEALTH MANAGEMENT, LLC
RICE HALL JAMES & ASSOCIATES LLC

Other Investors

Summer Rae Pretzer
Jeffrey Raymond Dockan
Arben Qirjazi
James Grandinetti
RYAN MAUL
JAMES T FARLEY
ASHLEY LYNN TESTER
Megan Polizzi

Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

More in San Diego, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor