Joseph P. Zappia
Professional summary
Joseph Patrick Zappia, who also goes by Joseph Zappia, is a registered financial advisor currently at LVW ADVISORS, LLC located in Pittsford, New York.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Joseph has worked at 3 firms and has passed the Series 66, Series 63, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Patrick Zappia's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 9, 2014 - Present
LVW ADVISORS, LLC
Office #1: 67b Monroe Avenue, Pittsford, NY 14534September 24, 2009 - May 13, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - May 13, 2014
WELLS FARGO CLEARING SERVICES, LLC
November 25, 1987 - January 3, 2008
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
LVW ADVISORS, LLC
CRD#: 159403 / SEC#: 801-72830
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/7/2021)
(5/9/2014)
Exams
Current Firm
LVW ADVISORS, LLC
CRD#: 159403 / SEC#: 801-72830
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,583 |
| AUM (Assets Under Management) | $ 2,281,803,093 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/27/2025 | ||
| 01/27/2024 | ||
| 02/28/2023 |
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
LVW ADVISORS, LLC
CRD#: 159403Pittsford, NY 14534TRUST BUT VERIFY
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