Carlos R. Zapata
Professional summary
Carlos Roberto Zapata, who also goes by Carlos R. Zapata, Carlos Zapata, is a registered financial advisor currently at MAGISTER CAPITAL MANAGEMENT, LLC located in San Ramon, California.
Carlos is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Carlos has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Carlos Roberto Zapata's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 30, 2018 - Present
MAGISTER CAPITAL MANAGEMENT, LLC
Office #1: 111 Deerwood Rd. Suite 200, San Ramon, CA 94583November 24, 2015 - December 31, 2017
MAGISTER CAPITAL MANAGEMENT, LLC
June 30, 2015 - July 20, 2015
PURSHE KAPLAN STERLING INVESTMENTS
October 17, 2014 - March 26, 2015
TRINITY INVESTMENT MANAGEMENT, LLC
February 5, 2013 - July 28, 2015
AMERITAS INVESTMENT COMPANY, LLC
February 5, 2013 - July 28, 2015
AMERITAS INVESTMENT COMPANY, LLC
October 25, 2012 - January 30, 2013
NEW ENGLAND SECURITIES
July 26, 2004 - November 2, 2012
AMERITAS INVESTMENT COMPANY, LLC
July 2, 2004 - November 2, 2012
AMERITAS INVESTMENT COMPANY, LLC
March 10, 2004 - July 2, 2004
MSI FINANCIAL SERVICES, INC.
January 20, 2004 - July 2, 2004
METROPOLITAN LIFE INSURANCE COMPANY
January 20, 2004 - July 2, 2004
MSI FINANCIAL SERVICES, INC.
August 28, 2002 - December 31, 2003
CETERA INVESTMENT ADVISERS LLC
March 6, 2002 - December 31, 2003
CAPITAL BROKERAGE CORPORATION
June 29, 2001 - February 20, 2002
VOYA FINANCIAL ADVISORS, INC.
June 25, 1998 - June 21, 1999
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/30/2018)
Exams
Current Firm
MAGISTER CAPITAL MANAGEMENT, LLC
CRD#: 281819 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 975,000 |
Red Flags
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Company Information
MAGISTER CAPITAL MANAGEMENT, LLC
CRD#: 281819San Ramon, CA 94583TRUST BUT VERIFY
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