Marco L. Mazzone
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.
Marco Louis Mazzone, who also goes by Marco Louis Mazzone Mr., Mark Mazzone, was a registered financial professional .
Marco is a previously registered financial professional and started their career in finance in 1972. Marco had worked at 7 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2016 - February 12, 2020
PLANMEMBER SECURITIES CORPORATION
December 9, 2015 - February 12, 2020
PLANMEMBER SECURITIES CORPORATION
March 7, 2003 - December 23, 2015
AMERICAN HERTITAGE FINANCIAL ADVISORS, LLC
August 19, 1999 - December 16, 2015
OSAIC WEALTH, INC.
August 10, 1995 - December 16, 2015
OSAIC WEALTH, INC.
July 31, 1990 - August 16, 1995
ALLSTATE FINANCIAL SERVICES, LLC
June 6, 1977 - August 18, 1988
FUNDSELECT ADVISERS, INC.
November 30, 1976 - July 11, 1977
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
August 24, 1972 - December 22, 1976
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
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 1
Date: 8/19/1972
Registered Representative ExaminationCurrent Firm
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLANMEMBER FINANCIAL CORPORATION | OWNER | |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | 2673117 |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER | 2837579 |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | 4854600 |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER | 2947154 |
| ZIEHL, JON MICHAEL | PRESIDENT | 707642 |
Regulatory assets under management
| Total Number of Accounts | 68,978 |
| AUM (Assets Under Management) | $ 9,035,509,268 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/21/2022 | ||
| 12/21/2022 |
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.
