Jeffrey T. Pezzella
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.
Jeffrey Thomas Pezzella was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1990. Jeffrey had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, 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
January 3, 2012 - August 14, 2020
SCHWAB WEALTH ADVISORY, INC.
March 24, 2006 - December 31, 2011
CHARLES SCHWAB & CO., INC.
March 24, 2006 - August 14, 2020
CHARLES SCHWAB & CO., INC.
March 1, 2004 - November 30, 2005
WOODBURY FINANCIAL SERVICES, INC.
May 24, 2001 - August 7, 2002
VOYA FINANCIAL PARTNERS, LLC
September 14, 2000 - March 1, 2001
VOYA FINANCIAL PARTNERS, LLC
May 5, 1998 - July 27, 2000
UBS FINANCIAL SERVICES INC.
January 2, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 2, 1990 - April 23, 1998
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
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 7TO
Date: 3/31/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/31/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
Red Flags
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