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RIA / WealthAdvisor28 years in industry

MICHAEL PHILLIP ZOTTO

Advisor at ZONE INVESTMENT MANAGEMENT, LLC

NEW BERN, NC

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Search this name across graphsid dfx:ria:fe67d4f8-db58-5c22-c424-c980df25d045

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 17, 2000 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: ZONE INVESTMENT MANAGEMENT, LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 17, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 4
Exams: S63|S65
First exam: Apr 17, 1998
First registration: May 17, 2000
Dual registered: no
Other names: MICHAEL ZOTTO
IAPD individual key: 3037747

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
ZONE INVESTMENT MANAGEMENT, LLC	State registered	Apr 20, 2021	n/a	yes	NEW BERN, NC	Current employment
INVST, LLC	Independent wealth	Sep 20, 2017	Jul 13, 2021	no	TAMPA, FL\|INDIANAPOLIS, IN	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Jan 12, 2015	Sep 13, 2017	no	HIGHLAND PARK, IL\|Highland Park, IL	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	May 17, 2000	Jan 2, 2015	no	NORTHBROOK, IL\|DEERFIELD, IL	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
INVST, LLC	ZONE INVESTMENT MANAGEMENT, LLC	Jul 13, 2021	Apr 20, 2021	-84	Firm change after gap	RIA to state RIA
J.P. MORGAN SECURITIES LLC	INVST, LLC	Sep 13, 2017	Sep 20, 2017	7	Firm change	Other
EQUITABLE ADVISORS, LLC	J.P. MORGAN SECURITIES LLC	Jan 2, 2015	Jan 12, 2015	10	Firm change	Ibd to wirehouse

Relationships

Registered with (4)

→ ZONE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: current employment
Apr 20, 2021 to presentfactForm ADV
→ INVST, LLCRegistered adviserregistration: previous registration
Sep 20, 2017 to Jul 13, 2021factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jan 12, 2015 to Sep 13, 2017factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
May 17, 2000 to Jan 2, 2015factForm ADV

Dated events

No dated event names this entity yet.