VM
Victor J. Mazzella
CETERA INVESTMENT ADVISERS LLC
CAPE CORAL, FL 33990
Some features on this profile are disabled
CRD#: 2947250
VM
Professional summary
Victor James Mazzella is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cape Coral, Florida and CETERA FINANCIAL SPECIALISTS LLC located in Cape Coral, Florida.
Victor is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Victor has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) VICTOR J MAZZELLA, CPA, PA; NOT INV REL; SAME AS REGISTERED ADDRESS; ACCOUNTING AND TAX PRACTICE; PRESIDENT; START DATE MAY 1987; 35HR/WK DURING TRADING:
2) VICTOR J MAZZELLA FINANCIAL SERVICES; INV REL; CAPE CORAL, FL; FINANCIAL SERVICES; OWNER; START DATE 2004; 24 HRS/MTH:
3) NAME OF OTHER BUSINESS: DUDGEE, INC ;
INVESTMENT RELATED: NO
ADDRESS: SAME AS RESIDENTIAL LOCATION ;
NATURE OF BUSINESS: RENTAL PROPERTY ;
START DATE: 11/1986 ;
POSITION/TITLE/RELATIONSHIP: OWNER / PRESIDENT ;
APX NUMBER OF HOURS PER WEEK: 1 ;
APX NUMBER OF HOURS DURING TRADING HOURS: 1 ;
BRIEF DESCRIPTION OF DUTIES: MANAGE RENTAL PROPERTY ;
CRS (Client Relationship Summary) - RIA
Click below to view Victor James Mazzella's 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®
NoneExperience
Current
July 9, 2004 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1408 Se 17th Avenue, Cape Coral, FL 33990RIA
CRD#: 105644
CAPE CORAL, FL
Current
June 30, 2004 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 1408 Se 17th Avenue Suite F, Cape Coral, FL 33990BD
CRD#: 10358
Cape Coral, FL
Past
February 18, 2000 - October 29, 2004
HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC.
RIA
CRD#: 105560
CAPE CORAL, FL
Past
October 17, 1997 - June 30, 2004
HOCHMAN & BAKER SECURITIES, INC.
BD
CRD#: 19949
STAMFORD, CT
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Florida(7/6/2004)
IAR
Florida(7/9/2004)
RR
Washington(8/26/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Cape Coral, FL 33990TRUST BUT VERIFY
Monitor Victor Mazzella
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
