Daniel Zappala
Professional summary
Daniel Zappala, who also goes by Daniel Anthony Zappala, is a registered financial professional currently at TRADEWEB DIRECT LLC located in Garden City, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2006. Daniel has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Zappala's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 21, 2014 - Present
TRADEWEB DIRECT LLC
Office #1: 1225 Franklin Avenue Suite 550, Garden City, NY 11530October 30, 2009 - June 17, 2014
KEYBANC CAPITAL MARKETS INC.
February 14, 2008 - October 23, 2009
MORGAN KEEGAN & COMPANY, LLC
February 27, 2006 - May 18, 2007
GUNNALLEN FINANCIAL, 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
(10/21/2014)
Exams
FINRA
Current Firm
TRADEWEB DIRECT LLC
CRD#: 103787 / SEC#: , 8-52278
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BONDDESK GROUP LLC | OWNER | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CAHALANE, JOHN JOSEPH | PRESIDENT | 2922033 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| FRIEDMAN, DOUGLAS L. | GENERAL COUNSEL | 5121291 |
| MCGUIRE, MICHAEL TERRENCE | CHIEF COMPLIANCE OFFICER | 2267871 |
| PITTINSKY, JONATHAN DAVID | CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 4291263 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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