Vincent A. Mazzarella

VANDERBILT SECURITIES

Ithaca, NY

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CRD#: 1397305

Professional summary

Vincent Anthony Mazzarella is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Ithaca, New York.

Vincent is registered as a RR (Registered Representative) and started their career in finance in 1985. Vincent has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vincent Anthony Mazzarella's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 17, 2025 - Present

VANDERBILT SECURITIES, LLC

CRD#: 5953

Ithaca, NY

Past

September 1, 2015 - September 23, 2015

PEAK BROKERAGE SERVICES, LLC

CRD#: 157045

JUPITER, FL

Past

September 8, 2014 - June 17, 2025

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

ITHACA, NY

Past

April 4, 2008 - September 9, 2014

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WILLIAMSPORT, PA

Past

May 7, 1996 - March 18, 2008

M&T SECURITIES, INC.

CRD#: 17358

ITHACA, NY

Past

June 27, 1994 - March 6, 1996

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

December 3, 1992 - June 27, 1994

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

August 9, 1985 - January 14, 1993

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(6/17/2025)

Colorado
(7/29/2025)

New York
(6/17/2025)

North Carolina
(7/18/2025)

Ohio
(6/17/2025)

Exams

State Security Law Exam

Series 63

Date: 10/28/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/28/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/8/1985

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

RICHARDT-ALYN & CO. | VANDERBILT SECURITIES, LLC | VANDERBILT SECURITIES

CRD#: 5953 / SEC#: , 8-16712

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Mailing Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Phone number

(631) 845-5100

Established

New York since 12/05/2001

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
VANDERBILT CAPITAL, LLC	SOLE OWNER
ANTENOR, JR, DANIEL	CHIEF OPERATIONS OFFICER/OPTIONS/MUNI	5839052
DISTANTE, STEPHEN ALFRED	CEO - LIMITED PARTNER	2206574
PLAPP, MEGAN LYNN	FINOP, POO, PFO, CFO	6790596
THOMAS, MICHELLE DENISE	CHIEF COMPLIANCE OFFICER	2210435
TRIFILETTI, JOSEPH JOHN	PRESIDENT	5295897

Disclosures

Regulatory Event	5
Arbitration	1

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Vincent A. Mazzarella

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vincent Anthony Mazzarella's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEAK BROKERAGE SERVICES, LLC

NEXT FINANCIAL GROUP, INC.

VOYA FINANCIAL ADVISORS, INC.

M&T SECURITIES, INC.

HSBC BROKERAGE (USA) INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/28/1985

SIE

Date: 10/1/2018

Series 7

Date: 5/28/1996

Series 6

Date: 8/8/1985

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VANDERBILT SECURITIES, LLC

TRUST BUT VERIFY

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