Charles P. Zapotocky
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.
Charles Peter Zapotocky JR, who also goes by Charles Peter Jr Zapotocky, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1987. Charles had worked at 8 firms and has passed the Series 65, Series 63, SIE 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
January 1, 2010 - September 11, 2018
GLOBAL INVESTMENT ADVISORS, LLC
January 1, 2010 - January 10, 2017
ESSEX SECURITIES LLC
January 4, 2007 - January 1, 2010
INVESTORS CAPITAL CORP.
January 4, 2007 - January 1, 2010
INVESTORS CAPITAL CORP.
February 2, 2006 - December 31, 2006
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
January 31, 1995 - December 31, 2006
LASALLE ST SECURITIES, L.L.C.
September 1, 1994 - January 30, 1995
PRINCIPAL FINANCIAL SECURITIES,INC.
July 14, 1988 - September 1, 1994
HAMILTON INVESTMENTS, INC.
November 25, 1987 - July 20, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
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
GLOBAL INVESTMENT ADVISORS, LLC
CRD#: 121442 / SEC#:
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.
