David S. Zappone

FRED ALGER & COMPANY

NEW YORK, NY 10004

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CRD#: 2102409

Professional summary

David Scott Zappone is a registered financial professional currently at FRED ALGER & COMPANY, LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1991. David has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 David Scott Zappone'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

June 5, 2012 - Present

FRED ALGER & COMPANY, LLC

Office #1: 100 Pearl Street 27th Floor, New York, NY, 10004

CRD#: 5300

NEW YORK, NY

Past

April 7, 1997 - June 1, 2012

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

Past

March 6, 1996 - December 16, 1997

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

May 6, 1992 - March 7, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 15, 1991 - January 27, 1992

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

State Registrations and Notice Filings

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

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

California
(6/5/2012)

Nevada
(7/20/2023)

Exams

State Security Law Exam

IAR

Series 65

Date: 4/6/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/15/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/4/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/11/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/16/2008

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

FRED ALGER & COMPANY, LLC

FRED ALGER & COMPANY, INCORPORATED | FRED ALGER & COMPANY, LLC

CRD#: 5300 / SEC#: , 8-15900

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

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Contact information

Main Address

100 Pearl Street 27th Floor, New York, NY, 10004

Mailing Address

100 Pearl Street 27th Floor, New York, NY, 10004

Phone number

(212) 806-8800

Established

Delaware since 10/01/2019

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ALGER GROUP HOLDINGS, LLC	PARENT
HOFMANN, CHRISTOPH	PRESIDENT	4748990
KINCEL, ROBERT LOUIS	CHIEF FINANCIAL OFFICER, PFO, POO	2747237
LEE, AARON SANG	CHIEF COMPLIANCE OFFICER	5240841
PAYNE, TINA	GENERAL COUNSEL	5391957

Disclosures

Regulatory Event	6
Civil Event	1

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.

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Advisor Monitoring

Firm Stability Insights

David S. Zappone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Scott Zappone's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL ATLANTIC DISTRIBUTORS, LLC

WMA SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WOODBURY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/6/1993

Series 63

Date: 4/15/1991

SIE

Date: 10/1/2018

Series 7

Date: 5/4/1992

Series 6

Date: 4/11/1991

Series 26

Date: 5/16/2008

FINRA

NYSE American LLC

NYSE Arca, Inc.

Nasdaq Stock Market

New York Stock Exchange

Current Firm

FRED ALGER & COMPANY, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FRED ALGER & COMPANY, LLC

TRUST BUT VERIFY

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