Vincent A. Mazzarella
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.
Vincent Anthony Mazzarella was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1985. Vincent had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2025 - June 25, 2026
VANDERBILT SECURITIES, LLC
September 1, 2015 - September 23, 2015
PEAK BROKERAGE SERVICES, LLC
September 8, 2014 - June 17, 2025
NEXT FINANCIAL GROUP, INC.
April 4, 2008 - September 9, 2014
VOYA FINANCIAL ADVISORS, INC.
May 7, 1996 - March 18, 2008
M&T SECURITIES, INC.
June 27, 1994 - March 6, 1996
HSBC BROKERAGE (USA) INC.
December 3, 1992 - June 27, 1994
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 9, 1985 - January 14, 1993
PRUCO SECURITIES, LLC.
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
Current Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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