AZ
Alex Ray S. Zapanta
MDB CAPITAL
Addison, TX 75001
Some features on this profile are disabled
CRD#: 5414779
AZ
Professional summary
Alex Ray S Zapanta JR., who also goes by Alex Ray S Zapanta, is a registered financial professional currently at MDB CAPITAL located in Addison, Texas.
Alex Ray is registered as a RR (Registered Representative) and started their career in finance in 2008. Alex Ray has worked at 1 firm and has passed the Series 66, Series 99TO, Series 79TO, Series 57TO, SIE, Series 55, Series 7, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Alex Ray S Zapanta
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.
CRS (Client Relationship Summary) - BD
Click below to view Alex Ray S Zapanta JR.'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®
NoneExperience
Current
May 26, 2008 - Present
MDB CAPITAL
Office #1: 14135 Midway Road, Suite G-150, Addison, TX 75001BD
CRD#: 42677
Addison, TX
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
Alabama(5/6/2024)
RR
Alaska(4/15/2024)
RR
Arizona(11/28/2012)
RR
Arkansas(6/12/2018)
RR
California(4/12/2010)
RR
Colorado(6/12/2018)
RR
Connecticut(6/12/2018)
RR
Delaware(4/22/2020)
RR
District of Columbia(6/25/2024)
RR
Florida(6/12/2018)
RR
Georgia(6/12/2018)
RR
Hawaii(4/15/2024)
RR
Idaho(6/12/2018)
RR
Illinois(11/28/2012)
RR
Indiana(6/12/2018)
RR
Iowa(3/26/2024)
RR
Kansas(6/12/2018)
RR
Kentucky(6/12/2018)
RR
Louisiana(6/12/2018)
RR
Maine(4/9/2024)
RR
Maryland(6/12/2018)
RR
Massachusetts(6/12/2018)
RR
Michigan(6/12/2018)
RR
Minnesota(6/12/2018)
RR
Mississippi(3/26/2024)
RR
Missouri(6/3/2024)
RR
Montana(5/6/2022)
RR
Nebraska(6/12/2018)
RR
Nevada(6/12/2018)
RR
New Hampshire(5/14/2024)
RR
New Jersey(6/12/2018)
RR
New Mexico(5/17/2024)
RR
New York(6/12/2018)
RR
North Carolina(10/9/2018)
RR
North Dakota(4/4/2024)
RR
Ohio(6/21/2020)
RR
Oklahoma(3/21/2024)
RR
Oregon(6/12/2018)
RR
Pennsylvania(6/12/2018)
RR
Rhode Island(3/26/2024)
RR
South Carolina(6/12/2018)
RR
South Dakota(3/27/2024)
RR
Tennessee(7/20/2018)
RR
Texas(3/24/2016)
RR
Utah(6/12/2018)
RR
Vermont(4/15/2024)
RR
Virginia(6/12/2018)
RR
Washington(6/12/2018)
RR
West Virginia(4/22/2024)
RR
Wisconsin(6/12/2018)
RR
Wyoming(4/10/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/17/2010
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
MC
MDB CAPITAL
MARSHALL MERCHANT GROUP, LLC | PUBLIC VENTURES, LLC | MDB CAPITAL GROUP LLC | MDB CAPITAL
CRD#: 42677 / SEC#: , 8-49951
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
14135 Midway Road, Suite G-150, Addison, TX 75001
Mailing Address
14135 Midway Road, Suite G-150, Addison, TX 75001
Phone number
(945) 262-9010
Established
California since 12/26/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
