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ROBERT CARL ZAPEL
CRD#: 501518
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 333 S GRAND AVE 12TH FL
LOS ANGELES, CA 90071
Registration History
19801985199019952000200520102015202020252 FIRMS2009 - 2011 (2 years)2 FIRMS2011 - Present (13 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1986 - 2009 (23 years)BR. H. MOULTON & CO. (CRD# 690)1985 - 1987 (1 year)BB.O.C.L. SECURITIES CORP. (CRD# 15332)1985 - 1985 (<1 year)BCAL STATE SECURITIES CORP. (CRD# 13781)1984 - 1985 (<1 year)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1984 - 1984 (<1 year)BBIRR, WILSON & CO., INC. (CRD# 93)1983 - 1984 (<1 year)BGIBRALCO, INC. (CRD# 7345)1977 - 1983 (6 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2009 (11 years)
Disclosure(s)
View By:
11/23/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 6/17/2021

B
New York 6/10/2011

B
California 6/10/2011

B
North Carolina 12/20/2021

IA
California 6/13/2011

B
Ohio 6/29/2011

B
Connecticut 1/29/2016

B
Oregon 1/27/2016

B
Florida 10/5/2015

B
Texas 6/10/2011

B
Kentucky 1/17/2012

IA
Texas 10/20/2016

B
Missouri 3/9/2020

B
Virginia 6/23/2011

B
Nevada 6/10/2011

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
333 S GRAND AVE 12TH FL, LOS ANGELES, CA 90071
90034, CA
Registered with this firm since 6/13/2011

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
333 S GRAND AVE 12TH FL, LOS ANGELES, CA 90071
90034, CA
Registered with this firm since 6/10/2011

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 06/20/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) LOS ANGELES, CA
B
06/01/2009 - 06/20/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) LOS ANGELES, CA
IA
07/08/1997 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
B
03/25/1986 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
B
12/13/1985 - 05/07/1987 R. H. MOULTON & CO. (CRD#:690)
B
09/25/1985 - 12/23/1985 B.O.C.L. SECURITIES CORP. (CRD#:15332)
B
10/15/1984 - 09/26/1985 CAL STATE SECURITIES CORP. (CRD#:13781)
B
03/14/1984 - 09/07/1984 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059)
B
06/30/1983 - 01/13/1984 BIRR, WILSON & CO., INC. (CRD#:93)
B
02/15/1977 - 06/29/1983 GIBRALCO, INC. (CRD#:7345)
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.