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LZ

Lauren A. Zitzka

FIS BROKERAGE & SECURITIES SERVICES LLC
Bolingbrook, IL 60440
Some features on this profile are disabled
CRD#: 5010535
LZ

Professional summary

Lauren Ashley Zitzka, who also goes by Lauren A Kappel, Lauren Ashley Kappel, is a registered financial professional currently at FIS BROKERAGE & SECURITIES SERVICES LLC located in Bolingbrook, Illinois.

Lauren is registered as a RR (Registered Representative) and started their career in finance in 2005. Lauren has worked at 10 firms and has passed the Series 63, Series 65, Series 99TO, Series 7TO, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lauren A Kappel | Lauren Ashley Kappel

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lauren Ashley Zitzka'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®
None

Experience

Current

October 8, 2022 - Present

FIS BROKERAGE & SECURITIES SERVICES LLC

Office #1: 270 Remington Blvd. Suite A, Bolingbrook, IL 60440
BD
CRD#: 104162
Bolingbrook, IL
Past

September 30, 2015 - April 11, 2016

WESTERN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 39262
DEERFIELD, IL
Past

February 11, 2013 - November 22, 2013

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
GENEVA, IL
Past

December 6, 2010 - November 22, 2013

SUNGARD INSTITUTIONAL BROKERAGE INC.

BD
CRD#: 8509
GENEVA, IL
Past

July 8, 2008 - December 8, 2010

INSIGHT SECURITIES, INC.

BD
CRD#: 5611
HIGHLAND PARK, IL
Past

May 19, 2008 - June 16, 2008

RAINMAKER SECURITIES, LLC

BD
CRD#: 132995
CORAL GABLES, FL
Past

October 8, 2007 - June 26, 2008

BREWER FINANCIAL SERVICES, LLC

BD
CRD#: 132558
CHICAGO, IL
Past

August 9, 2006 - April 18, 2007

TLG ADVISORS, INC.

RIA
CRD#: 111052
CHICAGO, IL
Past

March 9, 2006 - April 3, 2007

CHICAGO INVESTMENT GROUP, LLC

BD
CRD#: 11853
CHICAGO, IL
Past

November 30, 2005 - April 6, 2006

ADVANCED EQUITIES, INC.

RIA
CRD#: 35545
CHICAGO, IL
Past

November 30, 2005 - April 6, 2006

ADVANCED EQUITIES, INC.

BD
CRD#: 35545
CHICAGO, IL
Past

November 8, 2005 - November 21, 2005

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
RIVERWOODS, IL
Past

September 26, 2005 - November 21, 2005

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Illinois
(10/14/2022)
RR
Indiana
(1/27/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/14/2022
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/7/2005
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 9/12/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/8/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/26/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 11/11/2005
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/23/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FB
FIS BROKERAGE & SECURITIES SERVICES LLC
ANDOVER CAPITAL PARTNERS LLC | SUNGARD BROKERAGE & SECURITIES SERVICES, LLC | SUNGARD BROKERAGE & SECURITIES SERVICES LLC | PRESCIENT SECURITIES, LLC | FIS BROKERAGE & SECURITIES SERVICES LLC | ASSENT LLC

CRD#: 104162 / SEC#: , 8-52614

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
270 Remington Blvd. Suite A, Bolingbrook, IL 60440
Mailing Address
270 Remington Blvd. Suite A, Bolingbrook, IL 60440
Phone number
(630) 482-7300
Established
Delaware since 02/11/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FIS CAPITAL MARKETS US LLCSOLE MEMBER
DAMIS, JENEL CARIMACHIEF COMPLIANCE OFFICER3261583
HECKER, STEVEN MICHAELFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER3088510
PETERS, DAVID TODDBOARD MEMBER, ASSISTANT SECRETARY7798286
VOGEL, MICHAEL FRANCISCHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY2814935

Disclosures

Regulatory Event23

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

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162Bolingbrook, IL 60440

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