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JZ

Jose A. Zapata

Some features on this profile are disabled
CRD#: 2892463
JZ

Professional summary

Jose Angel Zapata JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jose is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, Jose had worked at 10 firms, which includes TITLEIST CAPITAL LLC, FORTITUDE ADVISORY GROUP L.L.C., ARGENTUS SECURITIES LLC, AWM SERVICES LLC, FACTOR INVESTMENT SOLUTIONS LLC, GBM INTERNATIONAL INC., WELLS FARGO INVESTMENTS LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, CHASE INVESTMENT SERVICES CORP., J.P. MORGAN SECURITIES OF TEXAS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jose A (jr) Zapata | Pepe Zapata

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)

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®
None

Experience

Past

December 6, 2013 - May 29, 2015

TITLEIST CAPITAL, LLC

RIA
CRD#: 126136
HOUSTON, TX
Past

December 6, 2013 - May 29, 2015

TITLEIST CAPITAL, LLC

BD
CRD#: 126136
SAN ANTONIO, TX
Past

April 3, 2013 - December 5, 2013

FORTITUDE ADVISORY GROUP L.L.C.

RIA
CRD#: 116083
GIG HARBOR, WA
Past

January 8, 2009 - December 5, 2013

ARGENTUS SECURITIES, LLC

BD
CRD#: 45915
HOUSTON, TX
Past

August 28, 2007 - December 31, 2008

AWM SERVICES, LLC

BD
CRD#: 6439
HOUSTON, TX
Past

May 3, 2007 - December 31, 2011

FACTOR INVESTMENT SOLUTIONS, LLC

RIA
CRD#: 137989
CRANBURY, NJ
Past

September 19, 2006 - October 4, 2006

FACTOR INVESTMENT SOLUTIONS, LLC

RIA
CRD#: 137989
CRANBURY, NJ
Past

January 17, 2006 - August 22, 2007

GBM INTERNATIONAL, INC.

BD
CRD#: 28684
SUGAR LAND, TX
Past

June 13, 2002 - October 25, 2005

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
SAN ANTONIO, TX
Past

June 13, 2002 - October 25, 2005

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

July 19, 2000 - March 6, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

March 1, 1999 - June 26, 2000

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

November 28, 1998 - March 1, 1999

J.P. MORGAN SECURITIES OF TEXAS, INC.

BD
CRD#: 17116
HOUSTON, TX
Past

May 1, 1998 - September 18, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
IAR
Series 65
Date: 3/31/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/20/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/29/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/30/1998
General Securities Representative Examination

Current Firm

TC
TITLEIST CAPITAL, LLC
BLUM AND WHITE WEALTH MANAGEMENT, LLC | VISION BASED PLANNING, LLC | TITLEIST CAPITAL, LLC | TITLEIST ASSET MANAGEMENT, LTD. | R JUDD WEALTH MANAGEMENT, LLC | PARAGON PRIVATE WEALTH GROUP LLC | MOSAIC FINANCIAL ADVISERS, LLC | KEYSTONE WEALTH MANAGEMENT, LLC | ENSEMBLE FINANCIAL, INC.

CRD#: 126136 / SEC#: 801-80959, 8-65859

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
777 E. Sonterra Boulevard Suite 330 Suite 330, San Antonio, TX 78258
Mailing Address
777 E. Sonterra Boulevard Suite 330, San Antonio, TX 78258
Phone number
(210) 826-2424
Established
Texas since 01/02/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
32

FINRA licenses (16 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

TITLEIST CAPITAL, LLC WRAP BROCHURE (3/31/2023)
TITLEIST CAPITAL, LLC ADV PART 2A (3/31/2023)

Direct owners and executive officers

NamePositionCRD#
FIELDS, BYRON LUCIENMANAGING MEMBER4227890
O'BANION, JOE-BENMANAGING MEMBER3030302
KING, RUSSELL CLARKMEMBER4601106
KALB, NEIL HOWARDMEMBER2883701
SADZEWICZ, GERY JOSEPHCHIEF COMPLIANCE OFFICER1090963

Disclosures

Regulatory Event2

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

TITLEIST CAPITAL, LLC

CRD#: 126136

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