James J. Zabatta
LPL ENTERPRISE | Financial Advisor
Melville, NY 11747
Some features on this profile are disabled
CRD#: 2730247
Professional summary
James Joseph Zabatta is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Melville, New York.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. James has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Tax Planning Strategies
Family Finances
Executive Compensation and Ben...
Are you a "fiduciary"?
Yes
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.
1. 07/30/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - New Hyde Park, NY - Start Date 07/30/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 2. 07/30/2025 - JAMES ZABATTA N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - New Hyde Park, NY - Start Date 07/30/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 3. 07/30/2025 - The Compassionate Friends of Rockville Centre - Non-Profit Board Member - NOT INV REL - New Hyde Park, NY - Start Date 05/01/2022 - 8 HRS/MO | 0 HRS/MO DURING TRADING 4. 07/30/2025 - BSA (formerly Boy Scouts of America) - Non-profit volunteer (not on board) - NOT INV REL - New Hyde Park, NY - Start Date 09/01/2010 - 6 HRS/MO | 0 HRS/MO DURING TRADING 5. 07/30/2025 - Zachary James Zabatta Foundation - Non-Profit Board Member - NOT INV REL - New Hyde Park, NY - Start Date 03/01/2022 - 20 HRS/MO | 0 HRS/MO DURING TRADING 6. 07/30/2025 - JAMES ZABATTA Non Variable Insurance - Non-Variable Insurance - INV REL - New Hyde Park, NY - Start Date 06/01/2010 - 10 HRS/MO | 10 HRS/MO DURING TRADING
CRS (Client Relationship Summary) - RIA
Click below to view James Joseph Zabatta's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Joseph Zabatta'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®
NoneExperience
Current
August 5, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 445 Broadhollow Road Suite 405, Melville, NY 11747RIA
BD
CRD#: 8733
Melville, NY
Current
August 5, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 445 Broadhollow Road Suite 405, Melville, NY 11747RIA
BD
CRD#: 8733
Melville, NY
Past
April 16, 2021 - August 15, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Garden City, NY
Past
July 20, 2016 - August 15, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Garden City, NY
Past
July 22, 2014 - May 24, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Plainview, NY
Past
July 12, 2013 - July 22, 2013
PROFESSIONAL PLANNING SERVICES
RIA
CRD#: 152702
MELVILLE, NY
Past
February 8, 2010 - July 22, 2014
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
February 8, 2010 - July 22, 2014
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
MELVILLE, NY
Past
April 30, 2009 - February 18, 2010
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
GLEN HEAD, NY
Past
May 22, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
HAUPPAUGE, NY
Past
May 22, 2003 - May 12, 2009
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
HAUPPAUGE, NY
Past
November 8, 1996 - August 20, 1997
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Connecticut(8/22/2025)
RR
Florida(8/5/2025)
RR
New York(8/5/2025)
IAR
New York(8/5/2025)
RR
Pennsylvania(8/22/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta 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
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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
LPL ENTERPRISE, LLC
Financial AdvisorCRD#: 8733Melville, NY 11747TRUST BUT VERIFY
Monitor James Zabatta
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
