Daniel A. Mazzotta
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daniel Anthony Mazzotta was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1984. Daniel had worked at 12 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2003 - December 31, 2003
GJL SECURITIES, INC.
April 20, 2000 - October 24, 2001
ELECTRONIC TRADING GROUP, LLC
July 14, 1998 - May 9, 2000
ON-SITE TRADING, INC.
February 13, 1998 - June 11, 1998
US TRADING LLC
March 11, 1996 - February 3, 1998
VISTA SECURITIES INC.
May 16, 1994 - January 22, 1996
JOSEPH STEVENS & CO., INC.
May 13, 1992 - May 5, 1994
A.S. GOLDMEN & CO., INC.
April 23, 1990 - February 3, 1992
FIRST MONTAUK SECURITIES CORP.
October 31, 1988 - June 21, 1990
SHELTER ROCK SECURITIES CORP.
April 28, 1988 - September 7, 1988
WAKEFIELD FINANCIAL CORPORATION
April 23, 1985 - June 19, 1986
ROONEY, PACE INC.
December 18, 1984 - April 26, 1985
D. H. BLAIR & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 2/12/1999
Limited Representative-Equity Trader ExamCurrent Firm
GJL SECURITIES, INC.
CRD#: 35584 / SEC#: , 8-46755
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
