David J. Mazzullo
Professional summary
David Jonathan Mazzullo, who also goes by David J Mazzullo, is a registered financial advisor currently at CANNELL & SPEARS LLC located in New York, New York.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. David has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David Jonathan Mazzullo's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 1, 2024 - Present
CANNELL & SPEARS LLC
Office #1: 535 Madison Avenue 14th Floor, New York, NY 10022February 28, 1995 - February 2, 2018
JONESTRADING
March 15, 1994 - June 17, 1994
CANTOR FITZGERALD & CO.
Primary Firm SEC Registration
CANNELL & SPEARS LLC
CRD#: 142633 / SEC#: 801-67401
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/1/2024)
Exams
Series 55
Date: 1/10/2000
Limited Representative-Equity Trader ExamCurrent Firm
CANNELL & SPEARS LLC
CRD#: 142633 / SEC#: 801-67401
Contact information
SEC notice filing (29 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,486 |
| AUM (Assets Under Management) | $ 6,316,371,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2025 | ||
| 03/13/2025 | ||
| 03/13/2025 | ||
| 03/13/2025 | ||
| 03/13/2025 | ||
| 05/23/2023 |
Red Flags
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