RM
Raymond A. Mazzo
CANACCORD GENUITY
Holly Springs, NC
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CRD#: 3220408
RM
Professional summary
Raymond Anthony Mazzo, who also goes by Raymond Mazzo, is a registered financial professional currently at CANACCORD GENUITY LLC located in Holly Springs, North Carolina.
Raymond is registered as a RR (Registered Representative) and started their career in finance in 2000. Raymond has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Raymond Mazzo
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.
CRS (Client Relationship Summary) - BD
Click below to view Raymond Anthony Mazzo'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
March 26, 2012 - Present
CANACCORD GENUITY LLC
BD
CRD#: 1020
Holly Springs, NC
Past
August 10, 2007 - September 27, 2012
CANACCORD GENUITY SECURITIES LLC
BD
CRD#: 24790
NEW YORK, NY
Past
March 30, 2005 - August 10, 2007
COLLINS STEWART INC.
BD
CRD#: 47414
NEW YORK, NY
Past
March 18, 2002 - April 19, 2005
TULLETT PREBON FINANCIAL SERVICES LLC
BD
CRD#: 28196
NEW YORK, NY
Past
April 5, 2000 - March 27, 2002
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(1/16/2020)
RR
Alaska(1/16/2020)
RR
Arizona(1/16/2020)
RR
Arkansas(1/16/2020)
RR
California(8/12/2013)
RR
Colorado(1/16/2020)
RR
Connecticut(1/16/2020)
RR
Delaware(1/16/2020)
RR
District of Columbia(1/16/2020)
RR
Florida(1/16/2020)
RR
Georgia(1/16/2020)
RR
Hawaii(1/16/2020)
RR
Idaho(1/16/2020)
RR
Illinois(1/16/2020)
RR
Indiana(1/16/2020)
RR
Iowa(1/16/2020)
RR
Kansas(1/16/2020)
RR
Kentucky(1/16/2020)
RR
Louisiana(1/16/2020)
RR
Maine(1/16/2020)
RR
Maryland(1/16/2020)
RR
Massachusetts(8/12/2013)
RR
Michigan(1/16/2020)
RR
Minnesota(1/16/2020)
RR
Mississippi(1/16/2020)
RR
Missouri(1/16/2020)
RR
Montana(1/16/2020)
RR
Nebraska(1/16/2020)
RR
Nevada(1/16/2020)
RR
New Hampshire(1/16/2020)
RR
New Jersey(6/8/2016)
RR
New Mexico(1/16/2020)
RR
New York(3/27/2012)
RR
North Carolina(1/16/2020)
RR
North Dakota(1/16/2020)
RR
Ohio(1/17/2020)
RR
Oklahoma(1/16/2020)
RR
Oregon(1/16/2020)
RR
Pennsylvania(1/16/2020)
RR
Rhode Island(1/16/2020)
RR
South Carolina(1/16/2020)
RR
South Dakota(1/16/2020)
RR
Tennessee(1/16/2020)
RR
Texas(1/16/2020)
RR
Utah(1/16/2020)
RR
Vermont(1/16/2020)
RR
Virginia(1/16/2020)
RR
Washington(1/16/2020)
RR
West Virginia(1/16/2020)
RR
Wisconsin(1/16/2020)
RR
Wyoming(1/16/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/7/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CG
CANACCORD GENUITY LLC
ADAMS HARKNESS, INC. | CANACCORD GENUITY LLC. | CANACCORD GENUITY LLC | CANACCORD GENUITY INC. | CANACCORD ADAMS INC. | ADAMS, HARKNESS & HILL, INC.
CRD#: 1020 / SEC#: , 8-3271
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Pennsylvania Plaza Suite 2900, New York, NY 10119
Mailing Address
1 Post Office Square, Boston, MA 02109
Phone number
(212) 389-8000
Established
Delaware since 02/26/2004
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
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.
