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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)23 years in industry

JAMES JOSEPH ZABATTA

Advisor at LPL ENTERPRISE, LLC

MELVILLE, NY

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Search this name across graphsid dfx:ria:d0d12bb2-579b-6e79-dfd4-e996863b1fd9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 8, 2010 to Sep 14, 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 ENTERPRISE, 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: May 29, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Analyst
Exams: S63
First exam: May 29, 2003
First registration: Feb 8, 2010
Dual registered: yes, broker-dealer
IAPD individual key: 2730247

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 ENTERPRISE, LLC	Bd affiliated wealth	Aug 5, 2025	n/a	yes	MELVILLE, NY	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Apr 16, 2021	Aug 15, 2025	no	Jericho, NY\|Jericho, NY\|MASSAPEQUA, NY\|Garden City, NY\|N H P, NY	Previous registration
PROFESSIONAL PLANNING SERVICES	Former SEC adviser	Jul 12, 2013	Jul 22, 2013	no	MELVILLE, NY	Previous registration
AMERICAN PORTFOLIOS ADVISORS, INC	Former SEC adviser	Feb 8, 2010	Jul 22, 2014	no	HOLBROOK, NY	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
AMERIPRISE FINANCIAL SERVICES, LLC	LPL ENTERPRISE, LLC	Aug 15, 2025	Aug 5, 2025	-10	Firm change	Ibd to ibd
AMERICAN PORTFOLIOS ADVISORS, INC	PROFESSIONAL PLANNING SERVICES	Jul 22, 2014	Jul 12, 2013	-375	Firm change after gap	Other
PROFESSIONAL PLANNING SERVICES	AMERIPRISE FINANCIAL SERVICES, LLC	Jul 22, 2013	Apr 16, 2021	2,825	Firm change after gap	Other

Relationships

Registered with (4)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Aug 5, 2025 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Apr 16, 2021 to Aug 15, 2025factForm ADV
→ AMERICAN PORTFOLIOS ADVISORS, INCRegistered adviserregistration: previous registration
Feb 8, 2010 to Jul 22, 2014factForm ADV
→ PROFESSIONAL PLANNING SERVICESRegistered adviserregistration: previous registration
Jul 12, 2013 to Jul 22, 2013factForm ADV

Dated events

Occurred
Aug 15, 2025
Advisor changed firm
James Joseph Zabatta left Ameriprise Financial Services, Llc for Lpl Enterprise, Llc (registered 2025-08-05)
Form ADVobserved 5 days ago