AZ
Alfred J. Zappulla
LPL ENTERPRISE
SHELTON, CT 06484
Some features on this profile are disabled
CRD#: 2919189
AZ
Professional summary
Alfred Jason Zappulla, who also goes by Alfred Jason Zappulla, Alfie Zappulla, Alfred J Zappulla, Alfred Zappulla, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Shelton, Connecticut.
Alfred is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Alfred has worked at 3 firms and has passed the Series 66, Series 7TO, SIE, Series 3 and Series 56 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alfred Jason Zappulla | Alfie Zappulla | Alfred J Zappulla | Alfred Zappulla
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) 01/22/2025-Delray Apartment-Real Estate Rental- I rent it out seasonally for 3-4 months-Inv Related-At Delray Beach, FL-Start date 01/01/2017-1hrs/mth-0 during trading 2) 01/22/2025-TTMV Pattaya (Jomtien) Co., Ltd-Hotel Lease-Inv related-At Shelton, CT- Start date 01/03/2025-0hrs/mth-0hrs during trading
CRS (Client Relationship Summary) - RIA
Click below to view Alfred Jason Zappulla's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alfred Jason Zappulla'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
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1 Corporate Drive Suite 205, Shelton, CT 06484RIA
BD
CRD#: 8733
SHELTON, CT
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1 Corporate Drive Suite 205, Shelton, CT 06484RIA
BD
CRD#: 8733
SHELTON, CT
Past
October 30, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
SHELTON, CT
Past
June 27, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
SHELTON, CT
Past
February 26, 2013 - December 24, 2013
QUAD CAPITAL, LLC
BD
CRD#: 148927
NEW YORK, NY
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(11/14/2024)
IAR
Connecticut(11/14/2024)
RR
Florida(6/9/2025)
RR
New Jersey(6/9/2025)
RR
New York(6/9/2025)
RR
Texas(6/9/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/27/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 56
Date: 2/25/2013
Proprietary Trader Qualification ExaminationSRO 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
CRD#: 8733Shelton, CT 06484TRUST BUT VERIFY
Monitor Alfred Zappulla
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
