Stephan J. Mazzacca
Professional summary
Stephan J Mazzacca, who also goes by Stephan John Mazzacca, Stephen J Mazzacca, is a registered financial professional currently at SAFRA SECURITIES LLC located in New York, New York.
Stephan is registered as a RR (Registered Representative) and started their career in finance in 2003. Stephan has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephan J Mazzacca's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 12, 2018 - Present
SAFRA SECURITIES LLC
Office #1: 546 Fifth Ave, New York, NY 10036Office #2: 546 Fifth Avenue, New York, NY 10036July 21, 2011 - June 16, 2017
LADDER CAPITAL SECURITIES LLC
May 5, 2010 - February 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 8, 2010 - February 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 7, 2003 - September 21, 2005
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/12/2018)
Exams
FINRA
Current Firm
SAFRA SECURITIES LLC
CRD#: 47873 / SEC#: , 8-51935
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAFRA NATIONAL BANK OF NEW YORK | SOLE SHAREHOLDER | |
| BONFIM, CARLOS CESAR BERTACO | DIRECTOR | |
| COLOMBO, RAFAELO | DIRECTOR | 6054935 |
| DIBIASI, ANTHONY | FINOP | 6435706 |
| GRUNWALD, MARK STEVEN | DIRECTOR & PRESIDENT | 3262204 |
| JAVIER, SIGMUND PETER | DIRECTOR | 6002619 |
| MCCARTHY, GERARD THOMAS | CHIEF COMPLIANCE OFFICER | 3121615 |
| MORATO, SIMONI PASSOS | DIRECTOR | 5568481 |
| OSWALD, THOMAS FRANCIS | CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER | 1828798 |
| YOU, SANG MIN JIMMY | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6693855 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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