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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

KEITH Richard ZAVALA

Advisor at LPL FINANCIAL LLC

ENCINO, CA | BEVERLY HILLS, CA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jan 1, 2008 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 28, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Dec 28, 2007
First registration: Jan 1, 2008
Dual registered: yes, broker-dealer
Other names: KEITH RICHARD ZAVALA|KEITH ZAVALA
IAPD individual key: 5410937

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 19, 2023	n/a	yes	ENCINO, CA\|BEVERLY HILLS, CA	Current employment
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Jan 10, 2022	Jul 19, 2023	no	ENCINO, CA\|CULVER CITY, CA\|BEVERLY HILLS, CA\|THOUSAND OAKS, CA\|SANTA BARBARA, CA\|REDONDO BEACH, CA\|SANTA MONICA, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Feb 28, 2020	Jan 26, 2022	no	SOUTH PASADENA, CA\|PASADENA, CA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Nov 25, 2019	no	STUDIO CITY, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Dec 21, 2009	Oct 1, 2012	no	STUDIO CITY, CA\|BURBANK, CA\|PASADENA, CA\|GLENDALE, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Aug 12, 2008	Nov 23, 2009	no	ALHAMBRA, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jan 1, 2008	Mar 3, 2008	no	Los Angeles, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	LPL FINANCIAL LLC	Jul 19, 2023	Jul 19, 2023	0	Bulk transfer	Ibd to ibd
WELLS FARGO ADVISORS	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Jan 26, 2022	Jan 10, 2022	-16	Firm change	Wirehouse to ibd
J.P. MORGAN SECURITIES LLC	WELLS FARGO ADVISORS	Nov 25, 2019	Feb 28, 2020	95	Firm change	Wirehouse to wirehouse
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
WELLS FARGO INVESTMENTS, LLC	CHASE INVESTMENT SERVICES CORP.	Nov 23, 2009	Dec 21, 2009	28	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	WELLS FARGO INVESTMENTS, LLC	Mar 3, 2008	Aug 12, 2008	162	Firm change	Other

Relationships

Registered with (7)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 19, 2023 to presentfactForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Jan 10, 2022 to Jul 19, 2023factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Feb 28, 2020 to Jan 26, 2022factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Nov 25, 2019factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Dec 21, 2009 to Oct 1, 2012factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Aug 12, 2008 to Nov 23, 2009factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jan 1, 2008 to Mar 3, 2008factForm ADV

Dated events

Occurred
Jan 26, 2022
Advisor changed firm
Keith Richard Zavala left Wells Fargo Advisors for Bancwest Investment Services, Inc. (Bwis) (registered 2022-01-10)
Form ADVobserved 5 days ago