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YZ

Yvonne L. Zappulla

BRADLEY WOODS & CO. LTD.
New York, NY 10022
Some features on this profile are disabled
CRD#: 1300994
YZ

Professional summary

Yvonne Liane Zappulla, who also goes by Yvonne Liane Schirm, Yvonne Schirm Zappulla, is a registered financial professional currently at BRADLEY WOODS & CO. LTD. located in New York, New York.

Yvonne is registered as a RR (Registered Representative) and started their career in finance in 1984. Yvonne has worked at 11 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Yvonne Liane Schirm | Yvonne Schirm Zappulla

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Yvonne Liane Zappulla's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 11, 2014 - Present

BRADLEY WOODS & CO. LTD.

Office #1: 845 Third Ave, Suite 1703, New York, NY 10022
BD
CRD#: 13660
New York, NY
Past

August 10, 2009 - November 5, 2012

MIDDLEBURY SECURITIES LLC

BD
CRD#: 122602
RIDGEWOOD, NJ
Past

January 18, 2007 - July 17, 2007

HALPERN CAPITAL, INC.

BD
CRD#: 119895
NEW YORK, NY
Past

September 6, 2004 - January 18, 2005

BROCKINGTON SECURITIES, INC.

BD
CRD#: 37438
RONKONKOMA, NY
Past

January 4, 2002 - December 20, 2002

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
CHARLOTTE, NC
Past

September 10, 1997 - January 5, 2000

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
LOS ANGELES, CA
Past

January 2, 1997 - August 18, 1997

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

April 4, 1995 - January 2, 1997

THE CHICAGO CORPORATION

BD
CRD#: 1449
CHICAGO, IL
Past

September 29, 1992 - April 5, 1995

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

January 15, 1991 - October 2, 1992

FIRST MANHATTAN SECURITIES LLC

BD
CRD#: 1845
NEW YORK, NY
Past

July 26, 1988 - June 20, 1990

S.G. WARBURG & CO. INC.

BD
CRD#: 1483
NEW YORK, NY
Past

October 15, 1984 - June 9, 1988

FIRST MANHATTAN SECURITIES LLC

BD
CRD#: 1845

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(11/11/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 10/30/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/15/1984
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BW
BRADLEY WOODS & CO. LTD.
BRADLEY WOODS & CO. LTD. | BRADLEY, WOODS & CO.

CRD#: 13660 / SEC#: , 8-28862

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
845 Third Ave, Suite 1703, New York, NY 10022
Mailing Address
845 Third Ave, Suite 1703, New York, NY 10022
Phone number
(212) 826-9191
Established
Delaware since 11/01/2004
Firm type
Corporation
Fiscal year end
February
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RIPP, DANIEL SCEO, CFO1398164
SHEA, PATRICK OFARRELLCHIEF COMPLIANCE OFFICER838154
YEE, DEREK BRIANCOO6911274

Disclosures

Regulatory Event1

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.

Company Information

BRADLEY WOODS & CO. LTD.

CRD#: 13660New York, NY 10022

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