Denise Zapata
Denise Zapata is a registered investment advisor at LPL Financial LLC, based in Upland, CA, with 24 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
Upland, CA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Denise operates Zapata Private Wealth Group LLC as a DBA for her LPL business and Financial Plan Guru, also a DBA for her LPL business. She is also an agent selling term, whole life, disability, and fixed annuities through Zapata Insurance Solutions and Denise Zapatat, taking minimal time for the first and a few hours per week for the second. Additionally, Denise is the owner of ONYX FLOWER MEDICINE, LLC and a Marketing Director.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Cambridge Investment Research, INC.Broker
Cambridge Investment Research Advisors, INC.
Fsc Securities Corporation
Fsc Securities CorporationBroker
Cetera Advisor Networks LLC
Cetera Advisor Networks LLCBroker
Cuso Financial Services, L.P.
Cuso Financial Services, L.P.Broker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Citicorp Investment Services
Citicorp Investment ServicesBroker
Wm Financial Services, INC.Broker
American Express Financial Advisors, INC.
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations13 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.