Brian M. Zito

WEALTHSPIRE RETIREMENT ADVISORY

Charlotte, NC 28211

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CRD#: 4779305

Professional summary

Brian Michael Zito, CFP® is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Charlotte, North Carolina.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Brian has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) CleanerWays, LLC; Not Investment Related; Charlotte, NC; Product Development & ECommerce; Owner; 11/2020 start date; 1 hour per month; 0 per trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Michael Zito's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

August 8, 2024 - Present

WEALTHSPIRE RETIREMENT ADVISORY

Office #1: 1901 Roxborough Road Ste 300, Charlotte, NC 28211

RIA

CRD#: 121254

Charlotte, NC

Past

January 7, 2020 - August 2, 2024

MGI FUNDS DISTRIBUTORS, LLC

CRD#: 35682

Charlotte, NC

Past

October 5, 2017 - December 31, 2019

MMC SECURITIES LLC

RIA

CRD#: 103846

CHARLOTTE, NC

Past

May 3, 2016 - December 31, 2019

MMC SECURITIES LLC

CRD#: 103846

CHARLOTTE, NC

Past

April 17, 2015 - January 29, 2016

CAPTRUST

RIA

CRD#: 175112

RALEIGH, NC

Past

October 21, 2009 - April 22, 2015

CAPFINANCIAL SECURITIES, LLC.

RIA

CRD#: 126291

CHARLOTTE, NC

Past

October 21, 2009 - January 12, 2016

CAPFINANCIAL SECURITIES, LLC.

CRD#: 126291

CHARLOTTE, NC

Past

May 25, 2004 - October 16, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CHARLOTTE, NC

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".

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(8/8/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/3/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/17/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/24/2004

General Securities Representative Examination

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

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Contact information

Main Address

120 Vantis Suite 400, Aliso Viejo, CA 92656

Mailing Address

Phone number

(949) 460-9898

Established

Firm type

Fiscal year end

# of Employees

240

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (11/20/2025)

Regulatory assets under management

Total Number of Accounts	9,394
AUM (Assets Under Management)	$ 118,031,461,765

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.

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Advisor Monitoring

Firm Stability Insights

Brian M. Zito

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Michael Zito's CRS (Customer Relationship Summary).

Certified licenses

Experience

MGI FUNDS DISTRIBUTORS, LLC

MMC SECURITIES LLC

MMC SECURITIES LLC

CAPTRUST

CAPFINANCIAL SECURITIES, LLC.

CAPFINANCIAL SECURITIES, LLC.

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

WEALTHSPIRE RETIREMENT ADVISORY

State Registrations and Notice Filings

Exams

Series 65

Date: 10/3/2017

Series 63

Date: 6/17/2004

SIE

Date: 10/1/2018

Series 7

Date: 5/24/2004

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPIRE RETIREMENT ADVISORY

TRUST BUT VERIFY

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