AZ
Anthony W. Zapico
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CRD#: 2152746
AZ
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.
Anthony Wells Zapico, CFP®, who also goes by Tony Zapico, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1991. Anthony had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tony Zapico
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.
Harvest Investment Services, LLC, 6876 Indiana Ave, Suite B, Riverside, CA 92506; investment related; investment adviser representative; start date: 11/11/2021; providing investment advisory services. Name: Tony Zapico Position: Owner Nature: Professional musician Investment Related: No Hours: 4 Securities Trading Hours: 0 Start Date: 07/01/1995 Address: 5364 CORNWALL AVE, RIVERSIDE CA 92506 Name: Freedom Advisors, Inc. Position: President Nature: Tax return preparation, bookkeeping, and payroll services. Investment Related: No Hours: 70 Securities Trading Hours: 40 Start Date: 01/01/1987 Address: 6876 Indiana Ave, Ste B, RIVERSIDE CA 92506 Name: VACATION RENTAL HOUSE POSITION: Owner NATURE: Vacation Rental INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 06/17/2019 ADDRESS: 1129 Forest Hill Road, Woodland Park CO 80863 ANTHONY ZAPICO POSITION: Agent NATURE: Sales of term insurance and fixed annuities. Placing business through Highland Capital since joining SAI/SAA. INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 08/02/2019 ADDRESS: 6876 Indiana Ave, Ste B, Riverside CA 92506, United States DESCRIPTION: Clients need insurance products from time to time. I sell them what is needed, and currently run all of this through Highland Capital. THE CHURCH FAMILY FELLOWSHIP POSITION: Worship Director NATURE: Church elder. I am involved in the leadership of our small church (about 50 congregants). Four other individuals are also elders. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2020 ADDRESS: P.O. Box 20512, Riverside CA 92516, United States DESCRIPTION: I am an elder/leader and also the worship director
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1995
Experience
Past
November 18, 2021 - August 17, 2023
HARVEST INVESTMENT SERVICES, LLC
RIA
CRD#: 159390
Riverside, CA
Past
November 18, 2021 - August 17, 2023
ENVOY ADVISORY INC.
RIA
CRD#: 306559
Riverside, CA
Past
August 2, 2019 - August 31, 2021
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
RIVERSIDE, CA
Past
August 2, 2019 - August 31, 2021
SECURITIES AMERICA, INC.
BD
CRD#: 10205
RIVERSIDE, CA
Past
June 2, 2006 - August 6, 2019
IC ADVISORY SERVICES, INC.
RIA
CRD#: 140190
BEDMINSTER, NJ
Past
January 5, 2004 - June 2, 2006
THE INVESTMENT CENTER, INC.
RIA
CRD#: 17839
RIVERSIDE, CA
Past
January 5, 2004 - August 6, 2019
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
RIVERSIDE, CA
Past
September 10, 2003 - January 2, 2004
CROWN CAPITAL SECURITIES, L.P.
RIA
CRD#: 6312
UPLAND, CA
Past
August 20, 2003 - January 2, 2004
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
ORANGE, CA
Past
April 8, 2002 - October 16, 2003
ARROWHEAD INVESTMENT CENTER, LLC
BD
CRD#: 41435
SAN BERNARDINO, CA
Past
May 30, 2001 - April 4, 2002
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
KNOXVILLE, TN
Past
July 29, 1998 - May 29, 2001
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
SCOTTSDALE, AZ
Past
August 20, 1996 - July 29, 1998
LONDON PACIFIC SECURITIES, INC.
BD
CRD#: 25089
SACRAMENTO, CA
Past
July 2, 1991 - August 21, 1996
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HI
HARVEST INVESTMENT SERVICES, LLC
COMPREHENSIVE FINANCIAL PLANNING SERVICES | PYLE FINANCIAL SERVICES, INC | PROGRESSIVE FINANCIAL PLANNING SERVICES, INC. | HARVEST INVESTMENT SERVICES, LLC | HARVEST INVESTMENT SERVICES, INC. | HARRISON FINANCIAL GROUP, INC. | HARRISON FINANCIAL GROUP, INC | DOUBLE W FINANCIAL GROUP, INC. | COPELIN FINANCIAL ADVISORS
CRD#: 159390 / SEC#: 801-79232
RIA
Registered Investment Advisory firm - (2/24/2014 Approved)Arizona
Registered Investment Advisory firm - (3/21/2014 Terminated)California
Registered Investment Advisory firm - (4/20/2014 Terminated)Illinois
Registered Investment Advisory firm - (2/24/2014 Terminated)Louisiana
Registered Investment Advisory firm - (3/28/2014 Terminated)Michigan
Registered Investment Advisory firm - (3/21/2014 Terminated)Texas
Registered Investment Advisory firm - (3/21/2014 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
HI
HARVEST INVESTMENT SERVICES, LLC
COMPREHENSIVE FINANCIAL PLANNING SERVICES | PYLE FINANCIAL SERVICES, INC | PROGRESSIVE FINANCIAL PLANNING SERVICES, INC. | HARVEST INVESTMENT SERVICES, LLC | HARVEST INVESTMENT SERVICES, INC. | HARRISON FINANCIAL GROUP, INC. | HARRISON FINANCIAL GROUP, INC | DOUBLE W FINANCIAL GROUP, INC. | COPELIN FINANCIAL ADVISORS
CRD#: 159390 / SEC#: 801-79232
RIA
Registered Investment Advisory firm - (2/24/2014 Approved)Arizona
Registered Investment Advisory firm - (3/21/2014 Terminated)California
Registered Investment Advisory firm - (4/20/2014 Terminated)Illinois
Registered Investment Advisory firm - (2/24/2014 Terminated)Louisiana
Registered Investment Advisory firm - (3/28/2014 Terminated)Michigan
Registered Investment Advisory firm - (3/21/2014 Terminated)Texas
Registered Investment Advisory firm - (3/21/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1 Transam Plaza Drive Suite 230, Oakbrook Terrace, IL 60181-4285
Mailing Address
Phone number
(630) 613-9230
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,335 |
| AUM (Assets Under Management) | $ 534,204,368 |
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.
