Larry D. Mazzoni
Professional summary
Larry David Mazzoni JR, who also goes by Lawrence Mazzoni Jr, is a registered financial advisor currently at MAXIM FINANCIAL ADVISORS LLC located in Woodbury, New York and MAXIM GROUP LLC located in Woodbury, New York.
Larry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Larry has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Larry David Mazzoni JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 30, 2017 - Present
MAXIM FINANCIAL ADVISORS LLC
Office #1: 20 Crossways Park Drive North Suite 304, Woodbury, NY 11797October 23, 2002 - Present
MAXIM GROUP LLC
Office #1: 100 Crossways Park Drive West - Suite 207, Woodbury, NY 11797December 6, 2013 - December 16, 2013
NATIONAL SECURITIES CORPORATION
October 29, 1999 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
September 21, 1994 - October 29, 1999
ROYCE INVESTMENT GROUP, INC.
Primary Firm SEC Registration
MAXIM FINANCIAL ADVISORS LLC
CRD#: 139366 / SEC#: 801-66147
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/15/2016)
(10/23/2002)
(10/23/2002)
(10/29/2009)
(2/11/2016)
(2/11/2016)
(12/15/2023)
(6/11/2018)
(2/11/2016)
(4/15/2016)
(10/23/2002)
(4/15/2016)
(11/15/2002)
(10/23/2002)
(10/30/2017)
(10/23/2002)
(7/29/2021)
(7/1/2014)
(5/2/2019)
(10/23/2002)
(3/4/2021)
(2/22/2018)
(10/12/2017)
(4/15/2016)
Exams
FINRA
Nasdaq Stock Market
Current Firm
MAXIM FINANCIAL ADVISORS LLC
CRD#: 139366 / SEC#: 801-66147
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 753 |
| AUM (Assets Under Management) | $ 396,466,473 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 09/17/2024 | ||
| 12/19/2023 | ||
| 01/24/2023 |
Red Flags
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