William T. Mazzafro
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.
William Thomas Mazzafro was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1994. William had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 55 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2018 - November 17, 2023
NASDAQ EXECUTION SERVICES, LLC
January 23, 2006 - March 30, 2007
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
November 11, 2003 - January 22, 2004
LABRANCHE FINANCIAL SERVICES, LLC
October 1, 2002 - August 26, 2003
NEWOAK CAPITAL MARKETS LLC
July 6, 1999 - June 17, 2002
WELLINGTON SALES CORP.
January 31, 1996 - January 7, 1997
HERZOG, HEINE, GEDULD, LLC
October 6, 1994 - January 9, 1996
RUTHERFORD, BROWN & CATHERWOOD, LLC
February 16, 1994 - August 11, 1994
L.C. WEGARD & CO., INC.
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 55
Date: 10/12/2002
Limited Representative-Equity Trader ExamCurrent Firm
NASDAQ EXECUTION SERVICES, LLC
CRD#: 7270 / SEC#: , 8-37329
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NASDAQ STOCK MARKET, LLC | SOLE MEMBER | |
| CRANE, LINDA | PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER | 4374198 |
| HINTON-MILLER, BRENDA | CHIEF COMPLIANCE OFFICER | 3208241 |
| LAWN, DAVID EDWARD | CHIEF EXECUTIVE OFFICER | 3155025 |
| MARIGLIANO, DONALD EDWARD JR | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | 1843181 |
Disclosures
| Regulatory Event | 10 |
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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