Allison Hathhorn Bonds Mazza
CIMA®, CPWA®Professional Summary
Allison Hathhorn Bonds Mazza, CIMA®, CPWA®, who also goes by Allison Hathhorn Bonds, Allison L Hathhorn, Allison L. Hathhorn, is a registered financial advisor currently at STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC located in Scottsdale, Arizona. Allison is registered as a RR (Registered Representative) and started their career in finance in 2001. Allison has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 24, Series 10 and Series 9...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Allison Hathhorn Bonds, Allison L Hathhorn, Allison L. Hathhorn
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
Credentials
Years of Experience
25 years in the financial services industry
Current & Past Employments
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
Current Firm
STATE STREET BROKERAGE SERVICES, INC. | STATE STREET GLOBAL MARKETS, LLC | STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC | STATE STREET CAPITAL MARKETS, LLC
Contact Information
Main Address
One Congress Street, Boston, MA 02114Mailing Address
One Congress Street, Boston, MA 02114Phone Number
(617) 664-3619Established
Delaware since 03/01/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET GLOBAL ADVISORS, INC. | PARENT CORPORATION | — |
| ALBERICI, MARK F | DIRECTOR | 3223458 |
| AMOA, APEAWUSU K | DIRECTOR | 7711546 |
| BONDS MAZZA, ALLISON HATHHORN | PRESIDENT AND DIRECTOR | 4439495 |
| CORBETT, TIMOTHY PAUL | DIRECTOR | — |
| FERRARELLI, JAMES | DIRECTOR | 6961735 |
| LAPORTA, JEANNE MARIE | DIRECTOR & CHAIRWOMAN | 5946908 |
| TENORIO, EDITHA V | CHIEF FINANCIAL OFFICER | 6755490 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
| TUCKER, JOHN A | DIRECTOR | 7000761 |
Disclosures
Regulatory Event
17Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(11/3/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(4/24/2018)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
(10/31/2008)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Sep 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jul 2002About the Series 9 examSRO Registrations
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
CRS (Client Relationship Summary) - BD
Click below to view Allison Hathhorn Bonds Mazza's CRS (Customer Relationship Summary).
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
