Charles R. 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.
Charles Robert Zappala was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 1976. Charles had worked at 5 firms and has passed the Series 63 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 1997 - December 10, 1997
RRZ PUBLIC MARKETS, INC.
July 31, 1991 - December 31, 2004
GARRISON INSTITUTIONAL ASSET MANAGEMENT
April 14, 1980 - August 7, 1997
RRZ PUBLIC MARKETS, INC.
September 26, 1978 - March 3, 1980
SIMPSON, EMERY & COMPANY, INC.
May 4, 1976 - July 15, 1982
ZAPPALA & COMPANY, 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
Current Firm
RRZ PUBLIC MARKETS, INC.
CRD#: 43257 / SEC#: , 8-50248
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
