Brian D. Zapf
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.
Brian David Zapf, who also goes by Brian Zapf, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2006. Brian had worked at 3 firms and has passed the Series 66, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2014 - January 3, 2017
CROSSTREE CAPITAL SECURITIES, LLC
June 12, 2009 - July 19, 2013
SILVERWOOD PARTNERS
February 14, 2007 - August 8, 2008
LPL FINANCIAL LLC
October 16, 2006 - August 8, 2008
LPL FINANCIAL LLC
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
CROSSTREE CAPITAL SECURITIES, LLC
CRD#: 154675 / SEC#: , 8-68662
Contact information
FINRA licenses (3 States and Territories)
Documents
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.
