AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MZ

Michael A. Zapata

KBS CAPITAL MARKETS GROUP LLC
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 2422544
MZ

Professional summary

Michael Anthony Zapata is a registered financial professional currently at KBS CAPITAL MARKETS GROUP LLC located in Newport Beach, California.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1993. Michael has worked at 5 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 99TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Michael Anthony Zapata's 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

January 21, 2010 - Present

KBS CAPITAL MARKETS GROUP LLC

Office #1: 800 Newport Center Drive Suite 600, Newport Beach, CA 92660
BD
CRD#: 132299
Newport Beach, CA
Past

February 14, 2006 - February 5, 2009

WAMU INVESTMENTS, INC.

RIA
CRD#: 599
IRVINE, CA
Past

October 9, 2003 - February 16, 2005

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD
CRD#: 43261
DES MOINES, IA
Past

February 24, 1998 - February 5, 2009

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

February 28, 1995 - November 26, 1996

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

November 24, 1993 - March 29, 1995

INDEPENDENT FINANCIAL SECURITIES, INC.

BD
CRD#: 19924

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
(1/21/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 12/6/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/8/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/22/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 10/7/1998
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/11/1995
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KC
KBS CAPITAL MARKETS GROUP LLC
KBS CAPITAL MARKETS GROUP LLC | MPARTNERS SECURITIES, LLC

CRD#: 132299 / SEC#: , 8-66581

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
800 Newport Center Drive Suite 600, Newport Beach, CA 92660
Mailing Address
800 Newport Center Drive Suite 600, Newport Beach, CA 92660
Phone number
(949) 717-6200
Established
California since 04/26/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
KBS HOLDINGSOWNER
TAM, KENNYPRINCIPAL OPERATIONS OFFICER7872457
TAM, KENNYFINOP7872457
TAM, KENNYPRINCIPAL FINANCIAL OFFICER7872457
ZAPATA, MICHAEL ANTHONYCHIEF COMPLIANCE OFFICER2422544
ZAPATA, MICHAEL ANTHONYCHIEF EXECUTIVE OFFICER2422544

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

KBS CAPITAL MARKETS GROUP LLC

CRD#: 132299Newport Beach, CA 92660

TRUST BUT VERIFY

Monitor Michael Zapata

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Barton S Pearce
Barton PearceAdvisorCheck Check Mark
PARK AVENUE SECURITIES LLC
IAR
RR
IRVINE, CA
Ryan Anthony Gallo
Ryan GalloAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
FULLERTON, CA
Michael Gregory Jensen
Michael JensenAdvisorCheck Check Mark
FALCON WEALTH PLANNING, INC.
IAR
Irvine, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.