Stephen M. Mazzarell

MFS FUND DISTRIBUTORS

McLean, VA

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CRD#: 2495933

Professional summary

Stephen Michael Mazzarell is a registered financial professional currently at MFS FUND DISTRIBUTORS, INC. located in Mclean, Virginia.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1994. Stephen has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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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

July 20, 2007 - Present

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

McLean, VA

Past

January 12, 2006 - July 13, 2007

J.P. MORGAN INVESTMENT MANAGEMENT INC.

RIA

CRD#: 107038

NEW YORK, NY

Past

July 7, 2004 - December 31, 2005

JPMORGAN ASSET MANAGEMENT

RIA

CRD#: 107247

COLUMBUS, OH

Past

August 27, 2001 - July 6, 2007

JPMORGAN DISTRIBUTION SERVICES, INC.

CRD#: 104234

COLUMBUS, OH

Past

June 14, 2001 - July 13, 2001

CONSECO EQUITY SALES, INC.

CRD#: 4125

CARMEL, IN

Past

June 29, 1994 - April 5, 2001

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

North Carolina
(7/20/2007)

South Carolina
(7/20/2007)

Exams

State Security Law Exam

IAR

Series 65

Date: 6/24/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/18/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/27/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/28/1994

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

MFS FUND DISTRIBUTORS, INC.

MFS FUND DISTRIBUTORS, INC. | MFS INVESTOR SERVICES, INC.

CRD#: 31052 / SEC#: , 8-45321

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

111 Huntington Avenue, Boston, MA 02199

Mailing Address

111 Huntington Avenue, Boston, MA 02199

Phone number

(617) 954-5000

Established

Delaware since 10/27/1992

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MASSACHUSETTS FINANCIAL SERVICES COMPANY	PARENT COMPANY
GEREMIA, CAROL WILLIAM	DIRECTOR AND CHAIRMAN OF THE BOARD	1456883
HARDIN, HEIDI WALTER	SECRETARY	2619251
HUNT, MICHAEL ANDREW	CHIEF COMPLIANCE OFFICER	4150065
KEENAN, MICHAEL SEAN	PRESIDENT AND DIRECTOR	2324763
SMELSTOR, JOSEPH JOHN IV	TREASURER AND SENIOR GROUP CONTROLLER	6247186

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

Stephen M. Mazzarell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Michael Mazzarell's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN INVESTMENT MANAGEMENT INC.

JPMORGAN ASSET MANAGEMENT

JPMORGAN DISTRIBUTION SERVICES, INC.

CONSECO EQUITY SALES, INC.

NYLIFE DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/24/2004

Series 63

Date: 8/18/1994

Series 7TO

Date: 6/27/2024

SIE

Date: 10/1/2018

Series 6

Date: 6/28/1994

FINRA

Current Firm

MFS FUND DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MFS FUND DISTRIBUTORS, INC.

TRUST BUT VERIFY

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