Mark J. Mazzone

SOVEREIGN FINANCIAL SERVICES

ROCKY HILL, CT 06067

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CRD#: 4666857

Professional summary

Mark J Mazzone, CFP® is a registered financial advisor currently at SOVEREIGN FINANCIAL SERVICES located in Rocky Hill, Connecticut.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Mark has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

D'AGOSTINO & MAZZONE, LLC, NON-INVESTMENT RELATED CPA FIRM, LOCATED AT 21 NEW BRITAIN AVENUE, SUITE 110, ROCKY HILL, CT 06067, MEMBER AND 50% OWNER, COMMENCED OWNERSHIP JANUARY 1, 2000, HOURS PER MONTH = 120, NUMBER OF HOURS DURING TRADING = 5 HOURS PER DAY, CPA PROVIDING TAX PLANNING, TAX COMPLIANCE AND FINANCIAL PLANNING SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark 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®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

July 10, 2003 - Present

SOVEREIGN FINANCIAL SERVICES

Office #1: 21 New Britain Ave Suite 110, Rocky Hill, CT 06067

RIA

CRD#: 127151

ROCKY HILL, CT

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(7/10/2003)

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Exams

State Security Law Exam

IAR

Series 65

Date: 6/21/2001

Uniform Investment Adviser Law Examination

Current Firm

SOVEREIGN FINANCIAL SERVICES

D'AGOSTINO & MAZZONE, LLC | SOVEREIGN FINANCIAL SERVICES

CRD#: 127151 / SEC#:

Connecticut

Registered Investment Advisory firm - (7/10/2003 Approved)

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Contact information

Main Address

21 New Britain Avenue Suite 110, Rocky Hill, CT 06067

Mailing Address

Phone number

(860) 257-4005

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	63
AUM (Assets Under Management)	$ 29,251,887

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Mark J. Mazzone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark J Mazzone's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOVEREIGN FINANCIAL SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 6/21/2001

Current Firm

SOVEREIGN FINANCIAL SERVICES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SOVEREIGN FINANCIAL SERVICES

TRUST BUT VERIFY

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