Michael A. Zapata
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.
Michael Albert Zapata was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 1987 - January 4, 1988
TD AMERITRADE, INC.
October 28, 1986 - July 23, 1987
BROOKS WEINGER ROBBINS & LEEDS INC.
October 9, 1986 - October 31, 1986
J. W. GANT & ASSOCIATES, INC.
July 24, 1986 - October 14, 1986
NORBAY SECURITIES INC.
October 23, 1985 - October 24, 1986
BROOKS WEINGER ROBBINS & LEEDS 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
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
