MM
Matthew J. Mazzone
PRINCIPAL SECURITIES
Latham, NY 12110
Some features on this profile are disabled
CRD#: 4218498
MM
Professional summary
Matthew J Mazzone, who also goes by Matthew John Mazzone, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Latham, New York.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Matthew has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matthew John Mazzone
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.
***Fixed Insurance; Investment Related; Latham, NY; Broker; Life, Annuities, DI; Start Date: 11/12/2019; 60 hrs per month; 60 during trading hours.***Discover Schenectady; Not Investment Related; Schenectady, NY; Board Member; Growing travel and tourism in Schenedtady County.; Start Date: 05/01/2015; 2 hrs per month; 2 during trading hours.***Mazzone Consulting; Not Investment Related; Burnt Hills, NY; Consultant; Specifically working with hospitality companies and other small businesses to refine strategy, executive coaching, hiring, and assessing team dynamics in growing companies.; Start Date: 06/10/2020; 20 hrs per month; 20 during trading hours. ***M Zone Logistics; Not Investment Related; Amsterdam, NY; Owner; logistics company delivering packages for Amazon, sole owner. Day to dat activities typically handled by COO, payroll, lease, insurance, is handled by Matt when COO is unable.; Start Date: 11/02/2020; 10 hrs per month; 10 during trading hours. ***Mazzone Wedding Group; Not Investment Related; Latham, NY; Owner; Not engaged in day to day, responsibilities which are handled by spouse.; Start Date: 03/01/2021; 5 hrs per month; 0 during trading hours. LAWN DOCTOR OF CLIFTON PARK, BALLSTON SPA, SCHENECTADY AND AMSTERDAN POSITION: Owner NATURE: Lawn Doctor Franchise INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 02/18/2022 ADDRESS: 2 Lavant Lane, Burnt Hills NY 12027, United States DESCRIPTION: I have purchased a Lawn Doctor franchise. I will have full control over the banking accounts with check writing privileges for payroll and expense purposes. I will have no daily operational responsibilities as I have hired a COO to run those for me. I will not be receiving any compensation for the first few years, however will be taking profits from the business for those first few years. M ZONE REAL ESTATE LLC POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/04/2022 ADDRESS: 581 SARATOGA RD, GLENVILLE NY 12302, United States DESCRIPTION: I bought this piece of real-estate and it is owned by the newly created LLC for Liability Protection. I will pay the taxes annually and ensure the property is maintained.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew J Mazzone's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew J Mazzone'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
June 30, 2021 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 637 New Loudon Rd Ste 1, Latham, NY 12110RIA
BD
CRD#: 1137
Latham, NY
Current
March 16, 2017 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 637 New Loudon Rd Ste 1, Latham, NY 12110RIA
BD
CRD#: 1137
Latham, NY
Past
May 23, 2008 - March 16, 2017
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
SCOTIA, NY
Past
June 20, 2006 - December 31, 2007
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
CLIFTON PARK, NY
Past
January 3, 2006 - May 30, 2008
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
CLIFTON PARK, NY
Past
July 12, 2004 - December 31, 2005
KEYBANC CAPITAL MARKETS INC.
RIA
CRD#: 566
ALBANY, NY
Past
March 28, 2003 - December 31, 2005
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
ALBANY, NY
Past
August 22, 2000 - March 31, 2003
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
Colorado(2/17/2021)
RR
Florida(3/6/2020)
RR
New York(3/16/2017)
IAR
New York(6/30/2021)
RR
North Carolina(4/17/2017)
RR
South Carolina(1/2/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
