Joseph T. 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.
Joseph Thomas Zappala was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1970. Joseph had worked at 9 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2005 - March 13, 2014
BRYAN FUNDING, INC.
September 22, 1986 - July 22, 2005
SEABOARD SECURITIES, INC.
March 18, 1985 - November 26, 1986
SWARTWOOD, HESSE INC.
January 9, 1984 - January 23, 1984
TRIPP & CO., INC.
April 8, 1981 - January 28, 1985
CORNWALL SECURITIES, INC.
March 11, 1977 - February 19, 1985
SEABOARD SECURITIES, INC.
July 2, 1976 - April 15, 1977
VERRILLI ALTSCHULER SCHWARTZ INC.
November 14, 1974 - May 3, 1976
FIRST JERSEY SECURITIES, INC.
July 21, 1972 - June 1, 1974
HARLEYSVILLE SECURITIES CORPORATION
August 25, 1970 - November 30, 1978
MAYFLOWER SECURITIES CO., 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 1
Date: 6/17/1968
Registered Representative ExaminationCurrent Firm
BRYAN FUNDING, INC.
CRD#: 11899 / SEC#: , 8-27880
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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