Daniel A. Zappala
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.
Daniel Alberto Zappala, who also goes by Dan Alberto Zappala, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1996. Daniel had worked at 9 firms and has passed the Series 63 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2000 - February 23, 2001
WINTRADE, INC.
December 9, 1999 - September 14, 2000
BRIARWOOD INVESTMENT COUNSEL
March 25, 1999 - June 7, 1999
AMERIVET SECURITIES, INC.
August 25, 1998 - March 9, 1999
JOSEPH CHARLES & ASSOC., INC.
January 8, 1998 - August 28, 1998
SCHNEIDER SECURITIES, INC.
October 8, 1997 - January 6, 1998
LEGEND MERCHANT GROUP, INC.
June 6, 1997 - November 10, 1997
ASH FINANCIAL CORP.
April 21, 1997 - June 6, 1997
H.J. MEYERS & CO., INC.
December 19, 1996 - May 13, 1997
INVESTORS ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 62
Date: 12/18/1996
Corporate Securities Limited Representative ExaminationCurrent Firm
WINTRADE, INC.
CRD#: 47863 / SEC#: , 8-51931
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTERNATIONAL TRADE & INVESTMENT BANK LIMITED | SHAREHOLDER | |
| MICHAEL KOOYMAN | DIRECTOR | |
| PAUL SHOK | DIRECTOR | |
| PETKANAS FAMILY LIMITED PARTNERSHIP | SHAREHOLDER | |
| THOMAS MANGIONE | DIRECTOR | |
| FARU MSAKA LLC | SHAREHOLDER | |
| BERNASCHINA, GABRIEL MANUEL | FINANCIAL OPERTIONS PRINCIPAL | 1083125 |
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.
