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JM

Jack G. Monopoli

ZANBATO SECURITIES LLC
Mountain View, CA 94043
Some features on this profile are disabled
CRD#: 1718078
JM

Professional summary

Jack Giacomo Monopoli, who also goes by Jack Giacomo Monopoli, is a registered financial professional currently at ZANBATO SECURITIES LLC located in Mountain View, California.

Jack is registered as a RR (Registered Representative) and started their career in finance in 1987. Jack has worked at 17 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jack Giacomo Monopoli

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 Jack Giacomo Monopoli'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

October 17, 2017 - Present

ZANBATO SECURITIES LLC

Office #1: 711 / 715 N. Shoreline Blvd., Mountain View, CA 94043
BD
CRD#: 279028
Mountain View, CA
Past

March 14, 2016 - October 10, 2017

US CAPITAL GLOBAL SECURITIES, LLC

BD
CRD#: 169544
SAN FRANCISCO, CA
Past

April 17, 2013 - February 11, 2016

MERRIMAN CAPITAL, INC.

BD
CRD#: 18296
NEW YORK, NY
Past

December 6, 2012 - April 1, 2013

XAMBALA CAPITAL, LLC

BD
CRD#: 158871
SUNNYVALE, CA
Past

March 15, 2005 - November 5, 2012

THINKEQUITY LLC

BD
CRD#: 44274
SAN FRANCISCO, CA
Past

September 3, 2002 - July 23, 2003

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

January 10, 2000 - July 2, 2002

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
SAN FRANCISCO, CA
Past

November 9, 1999 - December 20, 1999

VOLPE BROWN WHELAN & COMPANY, LLC

BD
CRD#: 18329
SAN FRANCISCO, CA
Past

September 1, 1998 - January 11, 1999

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA
Past

March 2, 1998 - September 1, 1998

BANCAMERICA SECURITIES, INC.

BD
CRD#: 17977
SAN FRANCISCO, CA
Past

June 19, 1996 - March 6, 1998

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

May 28, 1996 - June 17, 1996

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

March 12, 1992 - June 5, 1996

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

January 16, 1991 - March 10, 1992

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

May 25, 1988 - March 15, 1989

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

March 4, 1988 - October 28, 1988

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
Past

December 9, 1987 - February 23, 1988

MFS FINANCIAL SERVICES, INC.

BD
CRD#: 18309

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
California
(10/17/2017)
RR
Florida
(1/15/2021)
RR
Louisiana
(3/15/2021)
RR
Nevada
(5/23/2023)
RR
New York
(10/27/2017)
RR
Texas
(5/18/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 6/3/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 11/5/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 12/2/1988
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/1988
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/8/1987
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/12/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ZS
ZANBATO SECURITIES LLC
ZANBATO SECURITIES LLC

CRD#: 279028 / SEC#: , 8-69654

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
711 / 715 N. Shoreline Blvd., Mountain View, CA 94043
Mailing Address
711 / 715 N. Shoreline Blvd., Mountain View, CA 94043
Phone number
(650) 557-2333
Established
Delaware since 06/17/2015
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (41 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#
ZANBATO HOLDING COMPANY LLCMEMBER
FITZGERALD, HEATHERCFO4427665
RAFFERTY, MARIANNECCO1982973
SAND, KNUT NICOLAICEO6115928
WRIGHT, GREGORY LANCEPRESIDENT1564124

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

ZANBATO SECURITIES LLC

CRD#: 279028Mountain View, CA 94043

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