James R. Zapell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Richard Zapell, who also goes by James R Zapell, Jim Zapell, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 8 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2006 - December 3, 2014
WORLDVIEW WEALTH ADVISORS
March 30, 1999 - December 2, 2004
CHARLES SCHWAB & CO., INC.
May 10, 1993 - December 2, 2004
CHARLES SCHWAB & CO., INC.
July 17, 1992 - April 2, 1993
CUNA BROKERAGE SERVICES, INC.
July 31, 1991 - January 30, 1992
DAIN RAUSCHER INCORPORATED
May 9, 1990 - August 5, 1991
U.S. BANCORP SECURITIES
April 13, 1987 - June 16, 1989
A. G. EDWARDS & SONS, INC.
September 26, 1984 - April 22, 1987
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 8/12/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WORLDVIEW WEALTH ADVISORS
CRD#: 138891 / SEC#: 801-108479
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
