KM
Ken J. Mazzie
CETERA INVESTMENT ADVISERS LLC
Palm Coast, FL 32137
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CRD#: 1608470
KM
Professional summary
Ken Joseph Mazzie is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Palm Coast, Florida and CETERA WEALTH SERVICES, LLC located in Palm Coast, Florida.
Ken is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Ken has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) Fiduciary Appointment-Trustee 11554 Seminole Rd~Dunnellon~FL~34431~8/15/1990~5hrs~2hrs~manage family trust. 2) Ken Mazzie 109 Edward Dr~Palm Coast~FL~32164~Independent Insurance Agent~Insurance Sales Agent~2/1/2003~5hrs~0hrs~insurance sales. 3) KEN J MAZZIE CPA; POSITION: Accountant/Bookkeeper NATURE: Tax Preparation/Accounting INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 02/01/2003; ADDRESS: 32 Buttonworth DR, Palm Coast FL 32135, US; tax preparation and accounting. 4) MAZZIE GROUP TRUST; POSITION: Trustee NATURE: Trustee for family trust INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 08/15/1990; 57 Green Circle, Palm Coast FL 32164, US; manage family trust. 5) MAZZIE & CO LLC; POSITION: Tax Preparation/Accounting NATURE: Accounting/Bookkeeping (No Tax Preparation) INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 01/13/2003; 32 Buttonworth Drive, Palm Coast FL 32137, US; tax and accounting.
CRS (Client Relationship Summary) - RIA
Click below to view Ken Joseph Mazzie's 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®
NoneExperience
Current
August 12, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 32 Buttonworth Drive, Palm Coast, FL 32137RIA
CRD#: 105644
Palm Coast, FL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 32 Buttonworth Drive, Palm Coast, FL 32137BD
CRD#: 13572
PALM COAST, FL
Past
November 9, 2004 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Palm Coast, FL
Past
January 13, 2003 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
PALM COAST, FL
Past
January 5, 1998 - December 31, 2002
CADARET, GRANT & CO., INC.
RIA
CRD#: 10641
W. CALDWELL, NJ
Past
March 31, 1995 - December 31, 2002
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
October 14, 1992 - May 23, 1997
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
October 28, 1991 - October 15, 1992
WORLD INVESTMENTS, LLC
BD
CRD#: 20626
LINCROFT, NJ
Past
September 29, 1987 - December 31, 1990
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
February 17, 1987 - October 7, 1987
PFS INVESTMENTS INC.
BD
CRD#: 10111
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Delaware(9/5/2025)
IAR
Florida(8/12/2025)
RR
Florida(9/5/2025)
RR
New Jersey(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
