John S. Mallozzi
Professional summary
John Spencer Mallozzi, who also goes by Spencer Mallozzi, is a registered financial advisor currently at BOURGEON CAPITAL MANAGEMENT LLC located in Darien, Connecticut.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. John has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Spencer Mallozzi's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 7, 2023 - Present
BOURGEON CAPITAL MANAGEMENT LLC
Office #1: 320 Post Road Suite 220, Darien, CT 06820February 16, 2018 - December 3, 2021
OPPENHEIMER & CO. INC.
January 25, 2018 - December 3, 2021
OPPENHEIMER & CO. INC.
September 10, 2002 - March 2, 2005
DEUTSCHE BANK SECURITIES INC.
Primary Firm SEC Registration
BOURGEON CAPITAL MANAGEMENT LLC
CRD#: 108054 / SEC#: 801-56289
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/7/2023)
Exams
Current Firm
BOURGEON CAPITAL MANAGEMENT LLC
CRD#: 108054 / SEC#: 801-56289
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 334 |
| AUM (Assets Under Management) | $ 917,600,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/04/2025 | ||
| 02/03/2025 | ||
| 02/13/2024 | ||
| 03/17/2023 |
Red Flags
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