Louis A. Mazzone

CETERA INVESTMENT ADVISERS LLC

STATEN ISLAND, NY

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CRD#: 2016263

Professional summary

Louis Anthony Mazzone, who also goes by Lou Mazzone, Louis Mazzone, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Staten Island, New York and CETERA ADVISORS LLC located in Fort Lauderdale, Florida.

Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Louis has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lou Mazzone | Louis Mazzone

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) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 06/2020 APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, ANNUITIES AND LONG TERM CARE (2) NAME OF OTHER BUSINESS: MEDICARE NETWORK ADVISORS LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: HEALTH INSURANCE ; START DATE: 01/2020 POSITION/TITLE/RELATIONSHIP: OWNER / INSURANCE AGENT ; APX NUMBER OF HOURS PER WEEK: 10-15 ; APX NUMBER OF HOURS DURING TRADING HOURS: 10-15 BRIEF DESCRIPTION OF DUTIES: HEALTH INSURANCE SALES ;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis Anthony Mazzone'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

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

STATEN ISLAND, NY

Current

August 28, 2017 - Present

CETERA ADVISORS LLC

Office #2: 1142 (b) S Railroad Ave, Staten Island, NY 10306

CRD#: 10299

Fort Lauderdale, FL

Past

August 28, 2017 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

FORT LAUDERDALE, FL

Past

September 14, 2010 - August 30, 2017

FLAGSTAR ADVISORS

RIA

CRD#: 104233

STATEN ISLAND, NY

Past

September 3, 2010 - August 30, 2017

FLAGSTAR ADVISORS

CRD#: 104233

STATEN ISLAND, NY

Past

May 22, 1998 - September 15, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

STATEN ISLAND, NY

Past

August 21, 1996 - September 15, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

STATEN ISLAND, NY

Past

February 1, 1995 - August 21, 1996

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

April 18, 1994 - January 23, 1995

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

October 23, 1991 - April 29, 1994

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Florida
(1/10/2025)

New Jersey
(8/28/2017)

New York
(8/29/2017)

IAR

New York
(3/21/2024)

North Carolina
(9/8/2017)

Pennsylvania
(10/13/2023)

Texas
(3/18/2022)

IAR

Texas
(3/21/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/9/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/16/1991

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: 10/21/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/12/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Louis A. Mazzone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis Anthony Mazzone's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

FLAGSTAR ADVISORS

FLAGSTAR ADVISORS

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

FISERV INVESTOR SERVICES, INC.

JANNEY MONTGOMERY SCOTT LLC

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/9/1998

Series 63

Date: 4/16/1991

SIE

Date: 10/1/2018

Series 7

Date: 10/21/1991

Series 24

Date: 6/12/1999

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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