Johnny F. Mazzeo

SOFI WEALTH LLC

Jacksonville, FL 32256

Some features on this profile are disabled

CRD#: 4821934

Professional summary

Johnny Francesco Mazzeo, who also goes by Johnny F Mazzeo, is a registered financial advisor currently at SOFI WEALTH LLC located in Jacksonville, Florida and SOFI SECURITIES LLC located in Jacksonville, Florida.

Johnny is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Johnny has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Johnny F Mazzeo

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Johnny Francesco Mazzeo's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 17, 2021 - Present

SOFI WEALTH LLC

Office #1: 5335 Gate Pkwy Suite 101, Jacksonville, FL 32256

RIA

CRD#: 167958

Jacksonville, FL

Current

August 16, 2021 - Present

SOFI SECURITIES LLC

Office #1: 5335 Gate Pkwy 5th Floor, Jacksonville, FL 32256

CRD#: 151717

Jacksonville, FL

Past

November 8, 2013 - August 17, 2021

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

TAMPA, FL

Past

November 7, 2013 - August 17, 2021

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

TAMPA, FL

Past

June 23, 2010 - February 25, 2013

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

TAMPA, FL

Past

March 16, 2010 - February 25, 2013

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

TAMPA, FL

Past

May 4, 2007 - June 3, 2009

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NASHVILLE, TN

Past

December 16, 2004 - February 8, 2006

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

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".

SOFI WEALTH LLC

SOFI ADVISORS LLC | SOFI WEALTH LLC

CRD#: 167958 / SEC#: 801-78185

RIA

Registered Investment Advisory firm - (6/14/2013 Approved)

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.

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

Florida
(8/16/2021)

IAR

Florida
(9/17/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/20/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/7/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/15/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 3/12/2008

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/30/2008

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 7/1/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SOFI WEALTH LLC

SOFI ADVISORS LLC | SOFI WEALTH LLC

CRD#: 167958 / SEC#: 801-78185

RIA

Registered Investment Advisory firm - (6/14/2013 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

234 1st Street, San Francisco, CA 94105

Mailing Address

Phone number

(855) 525-7634

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOFI WEALTH ADV PART 2A (2/27/2025)

SOFI WEALTH ADV PART 2A APPENDIX 1 WRAP FEE BROCHURE (2/27/2025)

Regulatory assets under management

Total Number of Accounts	279,216
AUM (Assets Under Management)	$ 1,475,104,376

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.

Similar Advisors

Andreas Heinrich

LPL ENTERPRISE, LLC

IAR

Jacksonville, FL

Michael Mcalpin

INTELLICAPITAL ADVISORS LLC

IAR

PONTE VEDRA, FL

Troy Davis

DAVIS CAPITAL MANAGEMENT

IAR

JACKSONVILLE, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Johnny F. Mazzeo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Johnny Francesco Mazzeo's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOFI SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

SANFORD C. BERNSTEIN & CO., LLC

MAXIM GROUP LLC

Primary Firm SEC Registration

SOFI WEALTH LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/20/2010

Series 63

Date: 1/7/2005

SIE

Date: 10/1/2018

Series 7

Date: 12/15/2004

Series 9

Date: 3/12/2008

Series 10

Date: 1/30/2008

Series 24

Date: 7/1/2005

FINRA

Current Firm

SOFI WEALTH LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOFI WEALTH LLC

TRUST BUT VERIFY

Similar Advisors