Joseph M. Zappulla
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.
Joseph Michael Zappulla was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1981. Joseph had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2013 - June 11, 2020
BRADLEY WOODS & CO. LTD.
July 1, 2009 - May 21, 2012
MIDDLEBURY SECURITIES LLC
May 8, 2007 - July 17, 2007
HALPERN CAPITAL, INC.
August 20, 1997 - March 17, 1999
SOLID ISG CAPITAL MARKETS, LLC
February 28, 1997 - July 18, 1997
SANDS BROTHERS & CO., LTD.
January 29, 1996 - March 10, 1997
RYAN BECK & CO.
July 31, 1991 - January 10, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
December 22, 1988 - May 13, 1991
S.G. WARBURG & CO. INC.
February 23, 1981 - October 17, 1988
PERSHING LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BRADLEY WOODS & CO. LTD.
CRD#: 13660 / SEC#: , 8-28862
Contact information
FINRA licenses (22 States and Territories)
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.
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